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Electronic Communications Review Analyst

Full Time
Remote
Posted 5 days ago

Overview of Position

The Electronic Communications Review Analyst will be responsible for conducting the ongoing review of outsourced electronic communications to include Investment Adviser (“IA”) clients and non-distribution client Registered Rep review. The position will also assist with the regulatory review of electronic communications involving securities product promotion, including but not limited to mutual funds, ETFs, private funds, etc.

This position can work in any of our offices, or remotely, depending on the preference of the selected individual.

Compensation for the selected candidate will be determined by a variety of factors to include previous experience, education and credentials/licenses.

Key Responsibilities

  • Perform the ongoing review of electronic communications (such as Email, Social Media, Instant Messaging) for IA clients via an online review/retention system
  • Escalate to client any potential instances of non-compliance with SEC/FINRA regulatory requirements or client policies
  • Assist with the onboarding of clients and explanation of service standards
  • Provide feedback and input to assist in continued development of service efficiencies
  • Maintain documentation, tracking and evidence of reviews completed according to established protocol
  • Assist management with maintaining procedures related to service.
  • Troubleshoot problems and resolve issues related to capture of communications in third-party systems
  • Serve as a key resource to clients and firm management, including regular participation in team meetings
  • Conducts self in a professional manner
  • Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
  • Additional tasks and duties as assigned

Qualifications (Personal, Educational, Experience)

  • Minimum of 3 years of relevant experience in financial compliance or other regulatory services; investment adviser experience preferred
  • Associate degree or higher in a related field (will consider equivalent experience in lieu of a degree) preferred
  • FINRA Series 7/24/63 (or ability to obtain within 12 months of hire)
  • Proficient computer skills (MS suite)
  • Prior experience using email review/retention systems preferred
  • Excellent written and verbal communication skills
  • Strong relationship management skills with a customer-focused attitude
  • Time management and organization skills with a high attention to detail
  • Ability to understand, interpret and communicate rules and regulations
  • Self-starter and team player with the ability to work with limited supervision
  • Excellent analytical, reasoning and problem-solving skills
  • Knowledge of the investment management industry and related securities laws, especially the Investment Advisers Act of 1940, preferred

PHYSICAL DEMANDS and OTHER REQUIREMENTS:

Sit:                        Total hours/day     6.5           Hours at one time           2.0

Stand:                   Total hours/day     1.0           Hours at one time           0.5

Walk:                    Total hours/day     0.5           Hours at one time           0.5

This position requires strong organizational skills, the use of a computer and other common office equipment throughout the day, and the ability to maintain mental focus.

HOURS:

40 hours per week with ability to work additional hours as necessary to meet client needs.

About Foreside

Foreside Financial Group, LLC provides customized solutions to the investment management industry. Our solutions include fund, broker-dealer and adviser compliance services, distribution consulting, legal underwriting, FINRA licensing to U.S. and non-U.S. sponsors of closed-end, open-end, exchange traded funds and private placements as well as retail and institution broker-dealers and investment management firms.

Foreside’s cost-effective, personalized solutions allow our clients to focus on asset management without sacrificing distribution and compliance best practices.

Job Features

Job CategoryBroker-Dealer Compliance
FLSA STATUSNon-Exempt

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