Financial Compliance/ Broker Dealer Operations ...

MUST BE ABLE TO COMMUTE TO MELVILLE, NY 5 DAYS PER WEEKJob Overview:We are seeking a highly organized and detail-oriented Financial Compliance/ Broker Dealer Operations Administrator to join our consulting firm on Long Island. This position combines compliance oversight with operational support, ensuring that our company and clients maintain regulatory standards while running efficiently. Salary dependent on experience, starting at $60,000.About our Company:Asgard Regulatory Group, LLC, located on Long Island, New York, is a regulatory consulting firm providing compliance and risk management support services to financial institutions.Experience:· Bachelor's degree in Finance, Business Administration, Economics, or related field.· 2+ years of experience in brokerage operations, trade processing, or a similar back-office role within financial services, a plusQualifications:· Ability to work independently and manage multiple tasks in a fast-paced environment· Strong communications skills, both written and verbal· Excellent attention to detail and analytical skills· Technical proficiency related to computers, software systems, and digital tools to streamline processes· Proficiency in Microsoft Office Suite (Excel, Word, PowerPoint) and Google Workspace· Excellent organizational and time management skills with the ability to pivot between clients on an ongoing basis· Active listener and diligent note taker· Willingness to exceed expectationsJob Responsibilities:· Understand annual, quarterly, monthly and weekly business tasks· Ability to read and digest regulatory rules (e.g. SEC and FINRA)· Ensure all client and business related documentation is maintained and filed properly· Evaluate and develop efficiencies and identify areas of improvement and growth to the overall processes of the company· Work closely with various teammates to ensure strategic alignment and effective execution of client tasks· Identify and prioritize administrative goals that support the organizational mission and values· Perform general office duties, such as:o Electronic document filingo Answer phones and take comprehensive messageso Respond to emailso Calendar management· Accurately input and maintain data into internal systems, ensuring all information is up to date· Ability to stay focused and energetic while completing repetitive tasksTypical Day:· Assist upwards of 5 clients while managing the company's internal affairs· Review emails and prioritize task log· Team check in and support· Data input and management· Calendar management· Process improvement· Monitor company operational performance· Work within several technical platforms on a daily basis What We Offer:· Base Salary and discretionary bonus eligibility· Medical and Dental benefits, including 401K with 6% match· Paid Time Off· Casual to Business Casual Attire· Must be able to work from our office in Melville, NY· Flexible Friday's during summer

Created: 2025-01-28