Account Review Specialist

• Communicate policies and procedures to advisors and associates while helping maintain regulatory compliance
• Identify potential policy violations and elevate concerns to leadership when appropriate
• Respond to phone, email, voicemail, and occasional in-person inquiries in a professional and timely manner
• Research industry rules, regulations, and compliance requirements
• Monitor and support registered investment advisory (RIA) communications and documentation
• Develop and maintain knowledge of industry compliance standards, regulations, and best practices
• Handle sensitive and confidential information with discretion and professionalism
• Participate in departmental projects and cross-training opportunities as needed

• Ability to interpret policies, procedures, and business documentation
• Ability to manage confidential information responsibly
• Strong attention to detail and organizational skills
• Excellent written and verbal communication skills
• Effective problem-solving and analytical skills
• Ability to work well in a collaborative team environment
• Preferred: experience in financial services, operations, compliance, or account processing
• Preferred: familiarity with investment advisory or brokerage industry practices
• Preferred: experience working in a fast-paced, service-oriented environment

Demonstrates expertise in regulatory compliance and policy interpretation within the financial services sector, while effectively managing confidential information and maintaining strong communication skills. Proven ability to collaborate in team environments and address compliance-related inquiries with attention to detail.

• Regulatory Compliance
• Policy Interpretation
• Confidential Information Management
• Written And Verbal Communication
• Problem-Solving Skills

• Attention To Detail
• Organizational Skills
• Analytical Skills
• Team Collaboration

• Financial Services
• Investment Advisory
• Brokerage Industry Practices
• Compliance Standards
• Business Documentation