Investment Onboarding Specialist and Compliance Associate

Job Description Essential Duties and Responsibilities(Additional duties may be assigned)Assist the Chief Compliance Officer (CCO) with compliance functions and regulatory requirementsSupport compliance with SEC and state regulations, including maintaining compliance records and assisting with audits and examinationsCorrespond with clients and financial advisors to accurately prepare, process, and complete client on-boarding documentation for new account openingsReview new account paperwork for accuracy, completeness, and compliance prior to submissionOrganize, coordinate, and maintain client and compliance-related documentation in accordance with record retention requirementsUtilize CRM and custodial platforms to track client information, tasks, and workflowsPerform general administrative and office support functions as requiredMinimum RequirementsMinimum of 3 years of experience in the financial services industryPrior experience with client on-boarding, compliance, and brokerage account opening. Experience working in compliance or new account opening from large national institutions a plus (Vanguard, Fidelity, TIAA, Wells Fargo, Merril Lynch ect.Strong initiative with the ability to work independently and as part of a teamPositive, professional attitude with a strong client-service mindsetExceptional attention to detail and accuracyStrong organizational, prioritization, and time-management skillsExcellent interpersonal and communication skills, both verbal and writtenAbility to define problems, collect and analyze data, establish facts, and draw valid conclusionsAbility to investigate, research, and resolve issues or concerns in a timely mannerProficiency with Microsoft Office Suite (Outlook, Excel, Word, PowerPoint)Ability to quickly learn and effectively utilize CRM systems, custodial platforms, and reporting toolsCompany DescriptionAspire Private Capital is a Comprehensive Wealth Management firm located in the Lake Norman area above Charlotte NC. We specialize in holistic wealth management encompassing Investment, Tax and Estate Planning. We work with many high net worth families that are searching for advanced planning beyond simple investment management. We have a very successful new client acquisition program both holistic and active outside marketing. We work closely with local CPA's and Attorney's in helping our clients to become more tax efficient to enhance their returns. This approach separates us from the standard investment firms and is a key reason so many new clients are joining us. We provide a work environment that is more enjoyably client focused and less metrically pressure driven as in many of the larger firms. We prefer to promote from within if possible as we continue to grow. We anticipate Aspire Private Capital evolving and having exponential growth for our immediate and long-term future goals.Company DescriptionAspire Private Capital is a Comprehensive Wealth Management firm located in the Lake Norman area above Charlotte NC. We specialize in holistic wealth management encompassing Investment, Tax and Estate Planning. We work with many high net worth families that are searching for advanced planning beyond simple investment management. We have a very successful new client acquisition program both holistic and active outside marketing. We work closely with local CPA's and Attorney's in helping our clients to become more tax efficient to enhance their returns. This approach separates us from the standard investment firms and is a key reason so many new clients are joining us. We provide a work environment that is more enjoyably client focused and less metrically pressure driven as in many of the larger firms. We prefer to promote from within if possible as we continue to grow. We anticipate Aspire Private Capital evolving and having exponential growth for our immediate and long-term future goals.