Business Analysis, Business Services, Coaching, Communication Skills, Conflict Resolution, Problem Solving Skills, Process Improvement, Regulations, Staff Development, Training/Teaching
LOCATION
Tempe, AZ
POSTED
1 day ago
Require interaction that will impact branch teams, and other home office areas while promoting a culture of compliance. Associates use conflict management, effective communication and problem-solving skills with financial advisors, branch staff, leaders, peers and others in the firm. A Compliance Officer II has a relatively broad responsibility to deal with more complex situations which have implications for individual customers and/or business stakeholders. Associates assist in the creation and implementation of training materials as well as department, division, and firm communications related to compliance matters. They assist in the coaching and development of other team members. Project work often involves process improvement or analysis of business/regulatory changes. What You'll Do:Provide education and training on general Compliance policies and processes in response to inquiries from branch team and home office associates, via phones, written case requests and other tools or s...Compliance Officer, Compliance, Officer, Office Associate, Business Services