Compliance Associate: Regulatory Filings & Tech Tools

Dynasty Financial Partners; Saint Petersburg (FL); Vor Ort; USD 55.000 - 75.000; Vollzeit

Benefits dieser Stelle

Health Insurance

Dental insurance

Vision insurance

Retirement plan 401(k)

401(k) matching

Paid Time Off

FSA/HSA benefits plans

Disability benefits

Voluntary Life Insurance

Basic Life Insurance

Zusammenfassung

Dynasty Financial Partners is seeking a motivated Compliance Support specialist. Your focus will be maintaining registrations for the Dynasty network of firms and supporting the administration of compliance technology tools.

You will prepare and submit required forms, respond to regulator inquiries, keep registration records, help with new hires and transfers, and collaborate across departments to resolve compliance issues, while upholding confidentiality and high service standards.

Qualifikationen

• Bachelor's degree or associate degree or equivalent experience.
• 1–2 years of experience in compliance or financial services preferred.
• Ability to handle stressful situations with professional customer service.
• Detail-oriented, organized, and effective communication.

Aufgaben

• Prepare and submit required forms for investment advisory firms and registrations.
• Resolve registration issues with regulators.
• Establish and maintain registration records.
• Process new hires, status changes and transfers promptly.
• Become the go-to person on compliance technology tools.
• Collaborate with network firms on compliance technology solutions.
• Research compliance issues.
• Collaborate across departments to resolve issues.
• Read and apply regulatory rules and agencies.
• Perform other duties as assigned.

Kenntnisse

Attention to detail

Customer service

Communication skills

Regulatory knowledge

Ausbildung

Bachelor's degree

Associate degree

Equivalent experience

Jobbeschreibung

Dynasty Financial Partners is seeking a motivated Compliance Support specialist. Your focus will be maintaining registrations for the Dynasty network of firms and supporting the administration of compliance technology tools.

You will prepare and submit required forms, respond to regulator inquiries, keep registration records, help with new hires and transfers, and collaborate across departments to resolve compliance issues, while upholding confidentiality and high service standards.