Job Description

Job Description

Job Description

Are you a highly motivated professional looking to join a dynamic wealth management firm? GreenBridge Wealth Management is seeking a Service Compliance Associate to help maintain and enhance our internal compliance procedures. As a Service Compliance Associate, you will play a key role in executing GreenBridge’s compliance program, ensuring adherence to industry regulations, and improving internal processes. You will work closely with our compliance team of our broker dealer and operational staff to maintain the integrity of our firm’s regulatory framework.

Key Responsibilities

• Supervise and approve operational service requests, including cashiering items and account openings
• Oversee daily compliance workflows, ensuring efficient processing and timely issue resolution.
• Identify opportunities to enhance processes and implement efficiency improvements.
• Work closely with our clearing firm to address service issues and optimize operations.
• Resolve trade settlement issues and trade errors to maintain accuracy and compliance.
• Conduct periodic trade reporting reviews and ensure adherence to supervisory policies.
• Assist with regulatory inquiries, audits, and exams, including document and data retrieval.
• Manage daily workflow effectively while maintaining departmental service level goals.
• Ensuring compliance with broker dealers written supervisory procedures.
• Assist with various Client Servicing request for new and existing clients.

Qualifications

• Required Licenses: FINRA Series 7, Series 66 (or equivalent) and Series 24.
• 5 years experience.

Additional Information

• While the contract is 6-8 months, it is a low stress, low activity position as it mainly revolves around the Series 24 license. However, following the 6-8 months, the ideal candidate would likely be considered for full-time employment. Thus he/she would have or want to grow their own book of business and be part of a great firm. This would then become a salaried position with health and 401(k) benefits to be discussed at that time.

If you're looking for an opportunity to contribute to a firm that values integrity, independence, and client-first service, we’d love to hear from you.

Founded in 2020, GreenBridge Wealth Management was built on the principle of putting clients first. As an independent firm, we have the flexibility to offer financial solutions that best align with our clients' retirement and investment goals. We provide personalized financial planning with a commitment to long-term success—because while priorities may shift over time, our responsibility to our clients never changes.

Company Description

Founded in 2020, GreenBridge Wealth Management was built on the principle of putting clients first. As an independent firm, we have the flexibility to offer financial solutions that best align with our clients' retirement and investment goals. We provide personalized financial planning with a commitment to long-term success—because while priorities may shift over time, our responsibility to our clients never changes.

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