Overview
Case Administrator/Intake Clerk Jobs in Tacoma, WA at U.S. District Court, Western District of Washington
Brookstone Capital Management, an SEC Registered Investment Adviser providing financial solutions to Investment Advisers and their clients, seeks a Compliance Officer with experience in the Financial Services industry. The successful candidate will be a high-energy, team-oriented, collaborative individual who supports the compliance needs of the firm and their Investment Advisers. Must be able to successfully operate as a hands-on contributor in a fast-paced, team-oriented, and deadline-sensitive environment.
Essential Duties & Responsibilities:
Review client accounts for adherence to the stated investment policy statement
Review and approve Investment Adviser marketing materials and sales literature
Assist with annual compliance program review and testing
Train firm employees and Investment Advisers about policies, procedures, and applicable federal securities laws
Perform periodic branch office inspections
Conduct initial and ongoing sub-advisor due diligence
Maintain and update the firm compliance manual and disclosure brochures
Keep up-to-date with regulatory changes and updates
Assist with other duties and projects, as assigned
Qualifications & Competencies:
Strong understanding of the Investment Advisers Act of 1940
Bachelor’s degree
Securities Licenses: Series 65 or 66 preferred
Experience in Investment Adviser compliance and supervision
Ability to work as part of a team but maintain a proactive, independent approach
Detail-oriented with strong decision-making and analytical skills
Strong interpersonal, oral, and written communication skills
Proficient with Microsoft Office suite (Word, Excel, PowerPoint, Outlook)
Occasional travel required to conduct branch audits
Full-time Location: Wheaton, IL
Benefits: Medical, Dental, Vision, 401(k), Life, and PTO
Work Remotely
No
Job Type: Full-time
Pay: Up to $100,000.00 per year
Benefits:
401(k)
401(k) matching
Dental insurance
Employee assistance program
Flexible spending account
Health insurance
Life insurance
Paid time off
Vision insurance
Schedule:
Monday to Friday
Work Location: In person
Title: Case Administrator/Intake Clerk
Company: U.S. District Court, Western District of Washington
Location: Tacoma, WA
