We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered representatives/advisors. We are looking for a motivated Compliance Coordinator who is interested in growing in the field of securities regulatory/investment advisory compliance. We are a growing department that offers room to develop and advance your skills.
Responsibilities- Support the Compliance Department with administrative and operational support by providing excellent service to the Department and other Stratos teams.
- Will handle responsibilities with the Compliance Department that will necessitate the ability to multi-task, prioritize, and meet deadlines.
- Ability to work with a variety of levels within the organization from entry-level to senior management and with other Stratos teams.
- Excellent written and oral communication skills.
- Ability to operate with the highest level of confidentiality and discretion.
- Proficiency with technology and software, including the Microsoft suite of software and ability to learn industry-specific tools, such as Orion, RegEd and Salesforce.
- Ability to review policies and procedures and apply them to operational processes.
- Strong Organizational skills, including data organization and analytics
- Perform clerical duties, maintain files, and organize documents
• Bachelor's degree (we would consider students working toward a degree able to commit to a full-time working schedule)
• Open to attaining SIE, Series 7, 24 and 65 after hiring
• Collaborative mentality; strong team orientation
• Ability to work in a fast-paced, changing environment
• Attention to Detail / Data Organization
• Self-directed and able to work with some supervision
- Energetic and eager to tackle new projects and ideas