Compliance Associate

• Utilize Sungard Protegent system for monitoring trading activity and real-time alerts
• Ensure accurate and up-to-date record keeping for swift response to inquiries or audits
• Contribute to the development, review, and upkeep of our Written Supervisory Procedures
• Foster a culture of compliance and trading by working closely with senior management
• Provide continuous support for registered investment advisors and representatives
• Collaborate effectively with all departments, both independently and as part of a team
• Review and approve marketing materials, including social media posts, to ensure compliance
• Utilize CRM and ERP software systems to manage customer interactions and business resources
• Use accounting software systems and perform accounting functions as required
• Use communication and auditing skills to administer claims and produce clear reports

• Proficiency in Accounting Software Systems is crucial
• Familiarity with ADP - Financial Services is required
• Proficiency in using CRM systems is expected
• Ability to use Crystal Reports is essential
• Knowledge of ERP - Enterprise Resource Planning is necessary
• Experience with About Time is beneficial
• Understanding of Accounting Functions is mandatory
• Auditing skills are required
• Experience in Claim Administration is necessary
• Excellent Communication skills are a must

Experience with About Time

• medical insurance
• vision insurance
• dental insurance
• life insurance
• disability insurance
• 401(k) plan