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Core Competencies
Role fitCore Competencies
Use this summary to align your resume positioning with the role.
Demonstrates expertise in regulatory compliance, particularly with ADV Part 2B requirements and SEC and FINRA regulations. Strong analytical, problem-solving, and customer service skills are essential for effectively supporting advisors and fulfilling compliance-related tasks.
Highest-signal resume keywords
ADV Part 2B ComplianceFINRA Licenses (Series 7, Series 66, Series 24)Financial Services Industry ExperienceMicrosoft Office ProficiencyAnalytical Problem-Solving Skills
ATS Keywords
Tailor your resumeApplicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills
ADV 2B ProcessingRegulatory ResearchReportingCustomer ServiceCompliance Tasks
Soft Skills
Written CommunicationOral CommunicationCollaboration
Tools & Technologies
Microsoft OutlookMicrosoft TeamsMicrosoft ExcelMicrosoft Word
Certifications & Qualifications
FINRA Series 7FINRA Series 66FINRA Series 24
Industry Keywords
Financial ServicesSEC RegulationsFINRA RegulationsAdvisory Compliance
About the role
Key responsibilities & impact- Review, approve and process ADV 2Bs for new advisors
- Review updates as needed for existing advisors
- Deliver customer-focused service to advisors
- Collaborate with the team and other departments to fulfill ADV 2B requests and other Advisory Compliance-related tasks
- Perform other duties as assigned, including special projects, regulatory research and reporting
- Ensure prospective and existing advisors comply with ADV Part 2B requirements and applicable SEC and FINRA regulations governing advisory business activities
Requirements
What you’ll need- Bachelor’s degree
- 3+ years of financial services industry experience
- FINRA licenses such as Series 7, Series 66 and Series 24, other industry certifications or designations preferred
- Proficiency with Microsoft Office, especially Outlook, Teams, Excel and Word
- Written and oral communication skills
- High level of analytical and problem-solving skills
- Customer service experience is a plus
Benefits
Comp & perks- 401K matching
- Health benefits
- Employee stock options
- Paid time off
- Volunteer time off
- LPL Total Rewards package
- Freedom to make an impact
- Collaborative environment
- Cutting-edge resources