Compliance Associate (Wealth Management)

Description: Vision Financial Group, a dynamic, holistic financial advisory firm, is seeking a personable, highly organized individual to join our team as a Compliance Associate. The ideal candidate will have working knowledge of the wealth management arena, and the ability to provide exceptional service to our network of financial advisors and their teams. Benefits: Vision Financial Group provides competitive compensation, a full suite of benefits, free parking, a flexible work environment including the possibility of hybrid work after training, and the potential to advance to a compliance supervisory role for the right candidate. Specific job duties include, but are not limited to: Providing relationship management services to financial professionals by phone, via email, and in person Entering and tracking advertising and correspondence submissions via communications review tool Monitoring financial professional communications and activities, including annual compliance questionnaires, firm element training, and securities registration renewals Serving as a point of contact for the recruiting and transition teams, including handling questions regarding contracting, compliances, licensing, commissions, and services Maintaining associated compliance records in Salesforce CRM Reviewing electronic communications Assisting with external audit preparation and follow-up tasks Identifying opportunities for financial professionals to use our company's services Reassigning orphan accounts to financial professionals; establishing the correct codes associated with the assignment as needed Requirements: Qualifications: Bachelor's degree or equivalent experience required; finance or business-related degree preferred Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding of financial industry regulations highly desired Familiarity with Salesforce CRM system a plus Strong organizational and time management skills required Ability to work both independently and with a team Aptitude for completing tasks within structured deadlines Excellent oral and written communication skills required Strong attention to detail with the ability to work efficiently & accurately Licensing is not required for this role; Series 7/24 licenses will be required for certain advancement opportunities Physical Requirements: Standing or sitting for extended periods of time in an office environment Working on a computer for extended periods of time Lifting up to 15 pounds