Sr Compliance Analyst

Description

Responsibilities

· The end-to-end processing and resolution of customer complaints and field requests, including contacting field members and clients as necessary.

· Ensuring that customer complaints are processed efficiently, accurately and timely to meet regulatory requirements and expectations, including negotiating complex client settlements and processing as needed.

· Energetic, service-oriented individual with a positive attitude. Superb written and verbal communication expertise. Excellent interpersonal skills with the ability to establish relationships internally and externally. Flexibility to change as well as the ability and desire to influence change. Ability to think strategically. Capacity to plan and manage multiple and competing priorities in a highly dynamic environment and to meet deadlines. Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities of ...