Compliance Specialist - Remote

Genesis
10 is currently seeking a Compliance Specialist - Remote position with a Major Financial Services Company located in Milwaukee, WI. This is a 6+ month contract opportunity.

Compensation: $26.00 - $31.00 per hour, W2, based on qualifications

Position Overview:
In this role, you will support advisors and clients through a phone queue, reviewing various investment transactions such as new accounts, subsequent transactions, and monitoring trades to ensure compliance with regulations and company policies. The ideal candidate will have a customer service mindset and a desire to learn technical subjects related to financial compliance.

Key Responsibilities:

• Support advisors and clients via the phone queue
• Review various investment transactions including new accounts, subsequent transactions, and trade monitoring
• Ensure all transactions are in compliance with regulations and company policies
• Provide support to the field as a subject matter expert

Primary Requirements:

• Bachelor's degree or higher in a related field
• 2-3 years of financial industry experience
• Series 7/24 or Series 9/10 registrations
• Experience with Microsoft Word, Excel, Adobe, & Share Point
• Thrive as a self-directed learner with a strong sense of ownership and accountability
• Customer service mindset

Desired Skills:

• Advertising compliance experience

Only candidates available and ready to work directly as Genesis
10 employees will be considered for this position.

If you have the described qualifications and are interested in this exciting opportunity, please apply!

Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis
10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis
10 provides access to many of the Fortune 100 firms and a variety of mid-market organizations across the full spectrum of industry verticals.

For contract roles, Genesis
10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can talk you through the unique benefits offered for that particular client. Benefits of Working with Genesis
10:

• Access to hundreds of clients, most who have been working with Genesis
  10 for 5-20+ years
• The opportunity to have a career-home in Genesis
  10; many of our consultants have been working exclusively with Genesis
  10 for years
• Access to an experienced, caring recruiting team (more than 7 years of experience, on average)
• Behavioral Health Platform
• Medical, Dental, Vision
• Health Savings Account
• Voluntary Hospital Indemnity (Critical Illness & Accident)
• Voluntary Term Life Insurance
• 401K
• Sick Pay (for applicable states/municipalities)
• Commuter Benefits (Dallas, NYC, SF, and Illinois)

For multiple years running, Genesis
10 has been recognized as a Top Staffing Firm in the U.S., as a Best Company for Work-Life Balance, as a Best Company for Career Growth, for Diversity, and for Leadership, amongst others. To learn more and to view all of our available career opportunities, please visit us at our website.

Genesis
10 is an Equal Opportunity Employer. Candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.

#INDGEN
10