Compliance Analyst, Customer Complaints

Be a part of the team behind our success!  At Advisor Group, we support more than 7,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Surveillance Opportunity in Financial Services

Compliance Analyst, Customer Complaints


Location:               2300 Windy Ridge Pkwy #750, Atlanta, GA 30339

Summary:

Imagine the excitement of working for a billion-dollar startup company with a strong revenue flow and a client base that goes back 60+ years.  Our employees are the “how” and the “why” of Advisor Group’s success.  Advisor Group is seeking an organized, detailed and energetic Compliance Analyst to join our Customer Complaint team, responsible for reviewing and responding to customer related grievances. This position reports to the AVP of Network Compliance.

Keys:      Compliance, Customer Complaints, Financial Services    

Responsibilities:

  • Document receipt and resolve customer complaints in a timely manner.
  • Partner with Compliance, Supervision, Legal and Operations resources to ensure proper handling of complaint, including investigations and any required filings.
  • Work with advisors and supervisors to gather information as part of the complaint investigation and documentation required for the complaint file.
  • Work with customers to gather additional information to assure matters are handled in an objective and fair manner.
  • Identify and escalate complaints to senior management as necessary.
  • Complete all required filings in accordance with regulatory rules (i.e. 4530(b), 4530(d) and Form U4/U5 filings) and within the appropriate timeframes.
  • Identify and share best practices or process improvements.
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • Strong written communication skills are required.  Legal, paralegal and/or regulatory experience a plus. 
  • Ability to interpret the Sales Practice Manual, FINRA manual, FINRA Notices to Members, Compliance notices and other publications concerning broker/dealer regulation.
  • Working knowledge of FINRA Rule 4530 and Form U4/U5 is a plus.
  • Knowledge of the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds (Strength in variable annuities and mutual funds strongly preferred.)
  • Must be proficient with MS Office and Word.
  • Must be detail-oriented, investigative and have the ability to handle a high volume of work independently.

Preferred Requirements:

  • FINRA Series 7 and 24 preferred.
  • Insurance license preferred.
  • Prior customer complaint handling experience preferred.