Compliance Analyst at United Capital Financial Partners
Dallas, TX, US

Job description

United Capital Financial Advisers is looking for a candidate to join it's Compliance Team, as a Compliance Analyst located in our Irving, Texas Operations Center. This position will report to United Capital's Vice President of Compliance or his designee, located in the Irving, Texas office.  

 

Job requirements:

 

  • The candidate should have a minimum of 2-3 years of work experience within the financial services industry, preferably in the Broker Dealer/ Registered Investment Adviser sector along with Compliance experience.
  • The candidate must be: self motivated, have the ability to work independently, multi task, pay attention to detail, have good verbal and written communication skills and be able to meet deadlines on a regular basis 
  • Familiarity with Registered Investment Advisory and Security and Exchange compliance rules and regulations are required, plus a Series 65/66 license or other relevant Securities licenses (6, 7, 63, 24, 53, etc) are preferred.

Job Duties:

 

  • Case creation in Salesforce
  • Reconciling monthly check and gift logs
  • Reconciling professional designations
  • Reconciling new hire training
  • Reconciling Series 65 exam windows
  • Participate in training calls
  • Adding accounts for new hires to Financial Tracking
  • Setting up data feeds
  • Reconciling data feeds
  • Reconciling quarterly and annual requirements
  • ADV 2b Updates
  • U4 filings
  • Reconciling OBAs against: cases, U4 and ADV
  • Business Card review
  • Email and Social Media review
  • Other duties as assigned

Skills/qualifications:

 

 

  • The candidate should have a minimum of 1-3 years of work experience within the financial services industry, preferably in compliance.
  • The candidate must be: self motivated, have the ability to work independently, multi task, pay attention to detail, have good verbal and written communication skills and be able to meet deadlines on a regular basis 
  • Familiarity with Registered Investment Advisory and Security and Exchange compliance rules and regulations are required, plus a Series 65/66 license or other relevant Securities licenses (6, 7, 63, 24,etc) are a plus.