As a Part-Time Hybrid Brokerage Securities Operations Assistant Compliance Manager, in this role you will will help create, maintain compliance reports, RIA Billing, trade blotters, other internal asset management reporting.

This is a start-up new company with a solo practitioner, whom needs investment management/operational/compliance manager assistance to set-up and implement operational workflows.

We are looking for a part time individual to fill this role less than 25 hours a month to start. Trainings on sight provided.

This is a Hybrid IN person office job 15% and work from home remote 85% position

Fineberg Financial is looking for a part-time assistant solution that allows for our firm’s growth and success.

Salary Range: $25.00 - $35.00 per hour

Benefits

• Hourly Wage based on experience
• This is a Hybrid Part-Time role
• Satisfying work environment
• Growth Firm Potential
• Flexible work schedules and time off to care for yourself and others
• Giving Back: our firm supports pro-bono services
• Career development opportunities
• Onsight Free Lunch Days + Snacks
• Discretionary Annual Bonus directly tied to firm revenue growth and employee performance
• Be part of an elegant and holistic financial planning industry, working with Fortune 500 companies
• Full reimbursement of any business expenses incurred for business travel with pre-approval.
• Training provided for operational systems.
• Most work of this role is done from home remote, training and bi weekly meeting onsite in person. Business casual dress code unless otherwise noted.

• Applicant background with FINRA professional office support.
• Registered Client Associate background 4+ years required
• Requirements including experience, licensing, knowledge and experience of Brokerage Wealth Management Industry RIA & broker/dealer, with hours flexibility.
• Series 24, 6, 7; 65/63 and/or Series 66 FINRA SIE licenses , any Securities Principal licenses are strongly requested, any manager or securities background is a must have,
• Insurance license strongly requested for comprehension of business workflow. 

• Manage / integrate IT in workflows, Operations and Office Support functions, computer systems, and various cloud-based tech.
• RIA Billing of Managed Accounts
• New account compliance workflow processes and help maintain and update compliance procedures. (ex: Update client contracts with account numbers, and repost to client's document portal). Completing and filing Client's asset management agreements
• Creating Reports for asset auditing and internal business procedures Review trade blotters and firm asset management data in accordance with FINRA and industry standards
• Compliance documenting for company marketing, and process compliance logs of external marketing submitted and approved.
• General Monthly asset management audit business reporting

Independant Registered Investment Advisor (RIA) Wealth Management Firm. We examine your big picture and break it all down by your financials, assets, liabilities and risks. It is with this approach we can best design a financial road map to fit and keep you in the driver’s seat, helping pursue your goals. Intentionally designed as a boutique firm we tailor our services to you. It’s a relationship of trust, advice, support and management through all of life’s moments…big, small, expected and the unexpected. We best serve those who desire to be treated as family. Our role is to preserve your wealth and grow it. As a Hybrid fee-structure, We offer Institutional Investment Securities Asset Mangement, Fee Based Financial Consulting Services, and traditional Broker/Dealer retail investments and insurance products.