Administration Specialist

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FINRA

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2007

💸 Finance

💳 Fintech

📋 Compliance

Finance • Fintech • Compliance

FINRA is a not-for-profit, self-regulatory organization dedicated to investor protection and market integrity within the securities industry. It provides comprehensive tools and services for brokerage firms, registered representatives, and investors, including compliance resources, rule interpretations, regulatory filings, and dispute resolution. FINRA also offers educational resources to help investors make informed decisions, enforces rules governing the activities of securities firms and their employees, and acts as a centralized hub for monitoring activities related to crypto assets. Through its regulatory efforts, FINRA plays a critical role in the financial industry by ensuring fair practices and protecting against fraud and insider trading.

📋 Description

• Working as a virtual member and operational point of contact for advisors’ offices and providing task ownership, support, and coordination with other Commonwealth departments • Collaborating with various internal operational teams across the firm to research and resolve complex issues • Managing client data in Commonwealth’s CRM platform to create and distribute reports, prepare for client meetings and calls, and create procedure workflows • Submitting money movement requests and working with partner departments to resolve issues • Monitoring alerts and advisor action items and proactively collaborating on responses to time-sensitive requests • Building relationships by consistently providing the highest level of customer service • Collaborating with Sponsor Companies to research and obtain required documents • Use our account opening platform to open and update accounts, prepare documents, and send DocuSign documents to clients

🎯 Requirements

• At least two years of experience working in a financial advisory firm preferred; other relevant experience considered • Proficient in Microsoft Word, Excel, and Outlook, with knowledge of CRM applications

🏖️ Benefits

• generous bonus and 401(k) programs • tuition reimbursement • flexible work schedules • incredible health care benefits