Compliance Analyst, Customer Complaints

Financial Services Compliance Analyst, Customer Complaints Role Type: Full-time, Exempt Location(s): Scottsdale, Atlanta, La Vista, Oakdale, St. Petersburg. Applicants must be located at one of our hubs listed above and be willing to work a hybrid schedule requiring a minimum of 4 days per week in the office. Compensation: $75,000 - $95,000 per year + annual performance-based bonus. Benefits include health, vision, dental insurance, 401k, paid time away, and volunteer days. Responsibilities Document and resolve customer complaints in a timely manner, ensuring compliance with firm policy and industry regulations. Collaborate with Compliance, Supervision, Legal, Operations, and other internal teams to ensure proper handling of customer complaints. Partner with advisors and supervisors to gather information and maintain accurate records of complaints, investigations, and resolutions. Communicate with customers to gather additional information to ensure matters are handled objectively and fairly. Escalate significant issues to senior management and coordinate referrals to appropriate departments. Complete required filings (e.g., 4530(d) and U4/U5 amendment filings) within established timeframes in accordance with regulatory rules. Present findings clearly and confidently, including in formal settings such as arbitration hearings, when required. Perform other duties as assigned. Education Requirements Bachelor’s degree required; an equivalent combination of education and significant relevant experience may be considered. Basic Requirements Minimum of two years of experience in a compliance, regulatory, operational, legal or similar role within financial services. Excellent written and verbal communication skills for effective interaction with customers and stakeholders at all levels. Ability to interpret and apply FINRA Rules and Notices to Members, Compliance notices, and other publications impacting broker/dealer operations. Working knowledge of FINRA Rule 4530 and Form U4/U5. Solid understanding of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, equities, and fixed income products. Demonstrated ability to build collaborative relationships and effectively gather information across business units. Highly organized, detail-oriented, investigative, with the ability to manage a high volume of work independently and prioritize competing demands. Preferred Requirements FINRA Series 7 and Series 24. Insurance license (life/health). Prior experience handling customer complaints or regulatory inquiries. #J-18808-Ljbffr