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Job Information

Aerotek Compliance Resolution Specialist in Salt Lake City, Utah


-Essentially quality assurance analyst doing final FINRA compliance check and closing out complaints and sending decision in letterhead to client.

Responsible for supporting internal and external customers by providing a more complex variety of support services in account management, operations, documentation, customer service and technical support. Duties include: working with existing customers and relationship managers to present product or service information, discuss operating problems and identify opportunities to cross-sell other services; assessing and analyzing account activity, reports, cash flow projections and financial statements for customers to identify irregularities and determine retention resolution; preparing monthly/quarterly financial and profitability reports and loan reports; promoting Bank services and seeking new business with present and prospective customers; consulting with management on high level financial planning; identifying external customer needs and evaluating profitability and risk; preparing marketing proposals; assisting with special projects relating to product conversions and new product development. Provide guidance to lower level staff. Required Qualifications: 7+ years of client service experience, related business experience, or a combination of both Desired Qualifications: Strong project management skills Strong organizational, multi tasking, and prioritizing skills Ability to work independently Excellent verbal, written, and interpersonal communication skills Strong analytical skills with high attention to detail and accuracy Good analysis, tracking, trending, and modeling skills Experience implementing solutions on behalf of the customer or client, while improving productivity and customer satisfaction Intermediate Microsoft Office (Word, Excel, Outlook, PowerPoint, Access, and Project) skills Strong collaboration skills


financial planning, trading, series 7, Quality assurance

Top Skills Details:

Series 7

3-5ears experience

Additional Skills & Qualifications:

5 years minimum experience

series 7 FINRA

Experience Level:

Expert Level

About Aston Carter:

Aston Carter is a distinguished global provider of recruitment and staffing services to companies requiring highly specialized business professionals. As a Best of Staffing® Client and Talent leader, Aston Carter has an unrivaled commitment to delivering first class service to clients and business professionals across a variety of disciplines, including Accounting and Finance as well as Governance, Risk and Compliance. With more than 60 offices across Europe, Asia Pacific and North America, Aston Carter provides local, regional and global expertise to drive value and meet our customers' unique needs. Aston Carter is a division of Aerotek. Aerotek is an operating company of Allegis Group, a global talent solutions provider.

The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.