Prime Capital Financial
Compliance Coordinator
Prime Capital Financial, Overland Park, Kansas, United States, 66204
We seek a highly motivated individual with meticulous attention to detail and a focused and strong work ethic to fulfill the
Compliance Coordinator
role with
Prime Capital Financial, LLC . Prime Capital Financial, LLC, a leading Investment Advisory Firm focused on individual wealth management, qualified plans, and the education of plan participants, truly cares about its clients and staff. Our standards are to be the very best, and Prime Capital Financial, LLC is looking for people with the drive, enthusiasm, professionalism, and values we hold so important to work as a Compliance Coordinator based in our Overland Park, KS corporate office.
About Prime Capital FinancialPrime Capital Financial provides a client-centric team approach to full-service financial planning, including fee-based asset management and wealth management through its Prime Capital Wealth brand. Through its Prime Capital Wellness brand, the firm also provides retirement plan advisory services, as well as plan participant education. Prime Capital Financial has 70+ locations throughout the United States, with investment advisor representatives serving clients nationwide. Prime Capital Financial, LLC., a Registered Investment Adviser offers advisory services. For more information, visit www.primefinancial.com
Objectives
TheCompliance Coordinator
is an integral part of our Compliance teams. The Compliance Coordinator will be responsible for coordinating the overall workflow of the compliance department's day-to-day tasks, assisting the Chief Compliance Officer and the Director of Compliance Operations.Our Standards
Our overall standard is "industry leading ." Our goal is to provide the
very best
experience in service to our clients and advisors and provide excellence in compliance operation. As such, our Compliance Coordinators must display:Professional ExpertiseAn ability to quickly form and maintain a positive, productive relationship with advisors, associates, and external business partnersExceptional technology skillsAn ability to learn the financial services industry and understand the objectives for the positionTremendous written and oral communication skillsAbility to adapt quickly and positively to change in the financial services industrySuperior attention to detail and follow through; accuracy is extremely importantExcellent organizational and time-management skills; ability to successfully multitask and manage priorities effectivelyAbility to work independently and complete assignments within deadlineTeam player and collaboratorHigh standard of professionalism, ethics, confidentiality, and integrityWillingness to be proactive
Primary ResponsibilitiesOrganize and review files and documents;Develop compliance training plans;Handle confidential information - reviewing organizing and maintaining such files;Manage Compliance department's schedule and travel arrangementsPrepare reports, presentations, and data; prepares compliance audit data by compiling and analyzing internal and external informationProvides audit information to management by researching and analyzing data; preparing reports.Supports departments by collecting and coordinating internal compliance data with auditors and various departments.Quarterly PSQComplySci Management/AttestationsAudit Folders/Net Docs uploadsTrade Violations AuditsMy Rep Chat set up and maintenanceMonthly Compliance correspondence, check blotters and quarterly gift logsSchwab Docusign auditsProvides administrative support by implementing systems, procedures, and policies; completing projects in support of Chief Compliance Officer and Director of Compliance.Helps others by answering questions and responding to requests.Updates job knowledge by participating in educational opportunities and reading professional publications.Enhances compliance department and organization reputation by accepting ownership for accomplishing new and different requestsExplores opportunities to add value to job accomplishments.Act as a first-line liaison for the Compliance DepartmentOther duties as assigned
There are several key areas and responsibilities where
Compliance Coordinators
must demonstrate professional proficiency:Financial industry terminology and account typesSalesforce data entry and managementAll Compliance technologies used by PCIADetailed and accurate data entry and account processingGoogle Suite and calendar managementService ExcellenceProblem ResolutionFINRA rules and regulationsPCIA Policy and Procedures and Code of Ethics
Education/ExperienceHigh school Diploma requiredBachelor's Degree preferred or equivalent financial services industry experienceFinancial Services Industry experience preferredGoogle Suite, Salesforce, Microsoft Suite, Adobe skills requiredSuccessful completion of industry standard background screening requiredIndustry licensing is not required for this position, but will be an option for future professional growth
BenefitsHealth, Dental, Vision, Group Life & Disability, HSA401(k)TeladocGenerous PTO12 paid holidaysEAP programVoluntary Group Life and AD&D; Aflac; Nationwide Pet InsuranceFinancial Wellness EducationProfessional Development opportunitiesWork RemotelyNoJob Type: Full-time
Compliance Coordinator
role with
Prime Capital Financial, LLC . Prime Capital Financial, LLC, a leading Investment Advisory Firm focused on individual wealth management, qualified plans, and the education of plan participants, truly cares about its clients and staff. Our standards are to be the very best, and Prime Capital Financial, LLC is looking for people with the drive, enthusiasm, professionalism, and values we hold so important to work as a Compliance Coordinator based in our Overland Park, KS corporate office.
About Prime Capital FinancialPrime Capital Financial provides a client-centric team approach to full-service financial planning, including fee-based asset management and wealth management through its Prime Capital Wealth brand. Through its Prime Capital Wellness brand, the firm also provides retirement plan advisory services, as well as plan participant education. Prime Capital Financial has 70+ locations throughout the United States, with investment advisor representatives serving clients nationwide. Prime Capital Financial, LLC., a Registered Investment Adviser offers advisory services. For more information, visit www.primefinancial.com
Objectives
TheCompliance Coordinator
is an integral part of our Compliance teams. The Compliance Coordinator will be responsible for coordinating the overall workflow of the compliance department's day-to-day tasks, assisting the Chief Compliance Officer and the Director of Compliance Operations.Our Standards
Our overall standard is "industry leading ." Our goal is to provide the
very best
experience in service to our clients and advisors and provide excellence in compliance operation. As such, our Compliance Coordinators must display:Professional ExpertiseAn ability to quickly form and maintain a positive, productive relationship with advisors, associates, and external business partnersExceptional technology skillsAn ability to learn the financial services industry and understand the objectives for the positionTremendous written and oral communication skillsAbility to adapt quickly and positively to change in the financial services industrySuperior attention to detail and follow through; accuracy is extremely importantExcellent organizational and time-management skills; ability to successfully multitask and manage priorities effectivelyAbility to work independently and complete assignments within deadlineTeam player and collaboratorHigh standard of professionalism, ethics, confidentiality, and integrityWillingness to be proactive
Primary ResponsibilitiesOrganize and review files and documents;Develop compliance training plans;Handle confidential information - reviewing organizing and maintaining such files;Manage Compliance department's schedule and travel arrangementsPrepare reports, presentations, and data; prepares compliance audit data by compiling and analyzing internal and external informationProvides audit information to management by researching and analyzing data; preparing reports.Supports departments by collecting and coordinating internal compliance data with auditors and various departments.Quarterly PSQComplySci Management/AttestationsAudit Folders/Net Docs uploadsTrade Violations AuditsMy Rep Chat set up and maintenanceMonthly Compliance correspondence, check blotters and quarterly gift logsSchwab Docusign auditsProvides administrative support by implementing systems, procedures, and policies; completing projects in support of Chief Compliance Officer and Director of Compliance.Helps others by answering questions and responding to requests.Updates job knowledge by participating in educational opportunities and reading professional publications.Enhances compliance department and organization reputation by accepting ownership for accomplishing new and different requestsExplores opportunities to add value to job accomplishments.Act as a first-line liaison for the Compliance DepartmentOther duties as assigned
There are several key areas and responsibilities where
Compliance Coordinators
must demonstrate professional proficiency:Financial industry terminology and account typesSalesforce data entry and managementAll Compliance technologies used by PCIADetailed and accurate data entry and account processingGoogle Suite and calendar managementService ExcellenceProblem ResolutionFINRA rules and regulationsPCIA Policy and Procedures and Code of Ethics
Education/ExperienceHigh school Diploma requiredBachelor's Degree preferred or equivalent financial services industry experienceFinancial Services Industry experience preferredGoogle Suite, Salesforce, Microsoft Suite, Adobe skills requiredSuccessful completion of industry standard background screening requiredIndustry licensing is not required for this position, but will be an option for future professional growth
BenefitsHealth, Dental, Vision, Group Life & Disability, HSA401(k)TeladocGenerous PTO12 paid holidaysEAP programVoluntary Group Life and AD&D; Aflac; Nationwide Pet InsuranceFinancial Wellness EducationProfessional Development opportunitiesWork RemotelyNoJob Type: Full-time