Associate Service Consultant, Compliance, Registrations, and CE - (Fort Mill, SC)

Our Associate Service Consultant in Compliance, Continuing-ed & Registration will provide superior customer service to a large base of financial advisors as the 1st line of contact for various Compliance, Continuing-ed & Registration issues. You will help advisors ensure compliance with applicable industry rules (State, FINRA and SEC regulations) and Company policies through great communication and handling of incoming phone calls. Helping Advisors become registered with states and appointed with insurance carriers as well as helping with continuing-ed inquiries. You must possess strong analytical abilities, great customer service and be willing to take ownership of issues through resolution and have the expertise to coordinate effectively with internal departments to improve processes. Key functions: 1. Provide superior customer service to a defined group of financial advisors by handling inquiries via phone and email, with a focus on overall service. 2.