Compliance Coordinator

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