Financial Compliance Specialist Details

Financial Compliance Specialist

Blue Ocean Wealth Solutions (MM - Greenvale, NY

Employment Type : Full-Time

DESCRIPTION

About Blue Ocean Wealth Solutions, LLC., East Hills, Long Island, New York location

Blue Ocean Wealth Solutions, LLC offers financial strength and stability as well as local resources to provide clients with customized financial solutions including but not limited to Insurance, Retirement and Investment Planning. We have over 150 financial professionals who work closely with individuals, business owners as well as employers and employees.

Home to a top-notch team of diverse Financial Professionals, Blue Ocean Wealth Solutions, LLC, is motivated by a mission to change people’s lives. We have a family-orientated environment which enables our team members and clients alike to THRIVE! As committed as we are to changing clients’ lives, we are equally passionate about fostering an environment where everyone succeeds. A career with us means working alongside exceptional people who push you to reach your professional goals. We have a track record for success and strategies to prove it. We were awarded “Top Long Island Workplaces of 2018, 2019, 2020 & 2021” by Newsday. It's more than a job. It's family!

As a Financial Compliance Specialist, you will be an addition to the Compliance Team helping the firm reach their business goals while using your “problem solving skills” and “critical thinking approach”. You’ll have access to a host of tools, resources, and training to continue your development and sharpen your skills.

RESPONSIBILITIES INCLUDE but not limited to:

• Client File Reviews

• Detached Office Inspections and Monitoring

• Disciplinary Actions and Monitoring of Tailored Supervision Plans

• Approving and Monitoring Outside Business Activities

• Personal Interviews and Recordkeeping & FINRA and State Licensing Updates

• Securities Correspondence Reviews

• Subsequent Activity Best Interest Review for Certain Recommendations

• Apart of greeting and assisting regulators during examinations

• Apart of facilitating announced and unannounced agency inspections

• Assisting the Compliance Team in responding to inspection reports

• As requested, assisting Compliance, legal and/or audit personnel during Company investigations

• Promptly transmitting to Compliance and/or legal personnel written customer complaints, all threatened complaints, demands and legal actions received by Producers and agency associates

• Work closely with Compliance Business Partners within the Company

Experience:

• MUST HAVE FINRA SERIES 7

• FINRA Series 24 is HIGHLY PREFERRED, must obtain within 90 days

• New York Life & Accident & Health license – must obtain within 120 days

• 1 to 2 years of experience in FINRA and SEC supervision is preferred

Abilities:

• Ability to handle confidential information with professionalism

• Strong team player with the ability to work independently

• Must be detail orientated and think critically

• Strong interpersonal and communication skills

• Must be able to multi-task, prioritize in a fast-paced environment when necessary

• Proficient in MS Word, Excel, PowerPoint and Outlook

Salary Depends on experience. Benefits include ;

o Dental Insurance

o Medical Insurance

o Vision Insurance

o 401 (k)

o Generous Paid Time Off

Blue Ocean Wealth Solutions, Inc is an EEO.

LOCATION

2200 Northern Blvd, Greenvale, NY 11548, USA