Compliance Analyst, Customer Complaints

The Compliance Analyst, Customer Complaints, is responsible for researching and responding to often-times complex complaints received from various third parties including the SEC, NASD, NYSE and various state regulatory agencies. The analyst will ensure that results and relevant documentation are sent to the appropriate parties along with a timely, accurate and complete written response.
REQUIREMENTS


Minimum Required Skills:
The candidate for this position must demonstrate the following:An in-depth knowledge of the brokerage industry as a whole and more specifically the intricacies of E*TRADE policies and procedures.
An understanding of back-office functions and procedures. A previously established relationship with these departments is a plus.
Flexibility and an eye for detail to ensure cases are processed and completed in a timely manner.
The ability to think outside of the box and to work with other departments to obtain information and relay that information to the customer.
Strong verbal and written communication skills, including knowledge of basic grammar, paragraph and sentence structure.
Investigative skills to thoroughly research, analyze and resolve a variety of customer complaint issues. This includes obtaining copies of Customer Service phone calls, account documents and re!
lated SQ announcements.
An unbiased viewpoint and attitude to ensure cases are resolved fairly for both the customer and E*TRADE.The ability to document complaint trends and potential compliance issues and suggest proactive solutions.

Minimum Required Education, Certification and Training:
Minimum 2 years of experience in the securities industry, preferably in a similar role.
Series 7 and 63 preferred.