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Compliance Coordinator

Company: Destination Wealth Management
Location: Walnut Creek
Posted on: March 26, 2020

Job Description:

Destination Wealth Management is a rapidly growing Wealth Management firm with an opening for a Compliance Coordinator. This is an opportunity for an intelligent, positive and responsible person with high initiative, strong communication skills, and a desire to learn.Position Details:The Compliance Coordinator will perform duties that are essential to help implement an effective compliance program to prevent illegal, unethical, or improper conduct. In this role, the Compliance Coordinator will work on various tasks and projects that support the team to maintain compliance with SEC regulations. The position will require strong attention to detail and analysis. The Compliance Coordinator will be responsible to review client accounts, perform internal audits, vote proxies, help implement firm policies and procedures, and assist with other related duties and tasks as assigned.Duties and Responsibilities:--- Compile and analyze information to perform various audits on client households and accounts that review: client check deposits; statement delivery confirmation; client/advisor gifting; advisor registration requirements, fee schedules and billing assignments; investment objectives; etc.--- Ensure accuracy and integrity of data and reporting.--- Vote proxies for client accounts based on provided recommendations and demonstrate the ability to research and reconcile trade reporting data between various data management systems.--- Assist with mass mailing of annual ADV offering and any other client correspondence delivery as required.--- Assist with preparing documentation for annual compliance reviews.--- Help implement policies and procedures for the general operation of the Compliance Program.--- Complete various assigned projects and help the department monitor the performance of the Compliance Program and related activities on a continuing basis.Job Skills:--- Ability to communicate effectively both orally and in writing.--- Strong attention to detail and advanced organizational skills.--- Ability to work both independently and in a collaborative environment.--- Knowledge of the financial services industry and compliance programs a plus.--- Ability to quickly learn new systems for data gathering and reporting.--- Strong research and analytical skills.--- Strong multi-tasking skills, and the ability to manage multiple projects and priorities.Computer Equipment and Software:--- Advanced proficiency in all Microsoft Office products, including, but not limited to: Word, Excel, and Outlook.

Keywords: Destination Wealth Management, Walnut Creek , Compliance Coordinator, Other , Walnut Creek, California

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