Finance - Entry Level - Compliance Response - Northpointe Staffing Professionals : Job Details

The Analyst in this role will support the response to written Client Relations/Senior Investor inquiries and concerns will ensure Firm compliance with regulations governing the handling of Client Complaints.

The primary function of this position is to ensure Firm compliance with regulations governing the handling of Operational Client Complaints.

Individual within this role will be responsible for the investigation, research, and resolution of a large volume of assigned cases in a formal written format to communicate the firm's decision to the client. Additionally, this role may also be responsible for various operational responsibilities within Client Relations, including Settlement processing, Privacy Opt Out processing, and incoming telephone calls, other projects may be assigned on an as-needed basis.

Qualifications

Strong written and verbal communication skills

Bachelor's Degree in Finance, Accounting or Related Field