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.

• 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 time frames 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.

Bachelor’s degree required; an equivalent combination of education and significant relevant experience may be considered.

• 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.

• FINRA Series 7 and Series 24.
• Insurance license (life/health).
• Prior experience handling customer complaints or regulatory inquiries.