General Description: The Broker Dealer Compliance Specialist is responsible for gathering, organizing, analyzing, and distributing materials used by Compliance Department and line management in the execution of their duties designed to maintain the firm's compliance with federal, SRO, and state securities regulation. The position will work with compliance/operational processing and back-office systems designed to retain required records specific to the B/D and investment advisory businesses, including New Accounts, Commissions, Licensing, FINRA Registration and Brokerage Services. The Compliance Specialist position is critical to the effectiveness of the Compliance Department.
Responsibilities:
Knowledge, Skills and Abilities:
USI is committed to providing a full-suite of competitive benefits for our growing population and its diverse needs. We offer a wide range of health, welfare and financial benefits including medical, wellness, dental and vision, 401(k), flexible spending and health savings accounts, short and long-term disability, life insurance and other unique employer-sponsored and voluntary programs. USI also offers a generous paid time off policy, paid family leave benefit as well as paid holiday time .
Job Type: Full-time
Pay: $44,000.00 - $45,000.00 per year
Benefits:
Schedule:
Supplemental pay types:
Work Location: Hybrid remote in Glastonbury, CT 06033
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