Veritude is hiring for a Compliance Representative who will play a critical role in reviewing electronic communications for compliance with Fidelity policies.
Compliance Representative will research and gather information to support the overall Compliance function.
Responsible for but not limited to the following:
- Review and process all incoming and outgoing emails for compliance purpose
- Escalate any issues immediately to management;
- Analyze information and determine the appropriate action;
- Assisting Associates across the various Fidelity broker-dealers to become properly registered for the sale of securities products
- Assisting in on-going the maintaining of those registrations
- Accurate and timely updating of Representatives FINRA records as needed
- Oversight of Fidelity's Securities Registration & Qualifications Policy through monitoring, analysis, and ongoing review of registered individuals compared with applicable regulations and policies is component as well
- Provide guidance to business management and compliance contacts on all registration matters including policy, process, and regulatory requirements
- Provides on-going customer service to internal clients, regulators and compliance contacts via telephone hotline and/or email on a daily basis.
- Friendly, personable and professional.
- Great customer service skills.
- 0-2 years’ experience
- Experience with other financial services clients or the like preferred.
- Ability to work in a team environment.
- Detail oriented a must.
- Strong Analytical and problem solving skills.
- Excellent communication skills.