Compliance Officer - Registration

Inclusively is partnering with a financial services company to hire a Compliance Officer--Registration. **Please note: This role is NOT an internal position with Inclusively but with our partner company.**

ABOUT INCLUSIVELY:

Inclusively is a digital tech platform that connects candidates with disabilities, who may benefit from workplace accommodations, to inclusive employers. This includes all disabilities under the ADA, including mental health conditions (e.g. anxiety, depression, PTSD), chronic illnesses (e.g. diabetes, Long COVID), and neurodivergence (e.g. autism, ADHD). Applicants with one or more of these conditions are encouraged to apply; Inclusively does not require applicants to disclose their specific disability.

Responsibility Summary :

• Provide accurate and timely reporting to stakeholders to facilitate efficient processes and contribute to the overall understanding of registration related information.
• Initiate department improvements and informally drive associates through escalations, oversights, projects, and/or change.
• Prepare written supervisory reviews for leader review and sign-off.
• Use Excel to merge, cleanse, and transform data from multiple sources as needed for research.
• Understand and apply firm and industry policies and regulations to business judgments.
• Collaborate with stakeholders to create efficient and effective processes that maximize value and minimize resource needs.
• Analyze, monitor, and assign team processes daily to ensure coverage. This includes completing their own processes and providing coverage for team processes when staffing is short or volumes are high.
• Analyze and report the metrics of the Branch/FA Team to leadership on a monthly basis.
• Ensure compliance with industry regulations and accuracy of registration related data through reconciliations.

Qualifications:

• Effective use of the Firm's computer system and network, PeopleSoft, and FINRA Gateway.
• Must have a good working knowledge of industry registration requirements and processes.
• Ability to handle exception requests while maintaining compliance with industry regulations.
• Solid organizational and time management skills.
• Bachelor's degree preferred.
• Strong written and verbal communication skills.
• Resolve issues in reconciling records across multiple sources.
• Dedicated knowledge of department and FINRA systems and processes will be expected after training is complete.
• Good working knowledge of PSFT Query.
• Communicate effectively with associates, regulators, and other departments.
• Minimum two years Compliance experience.
• Proven judgment, problem-solving, and decision-making skills.