We seek a highly motivated individual with meticulous attention to detail and a focused and strong work ethic to fulfill the Compliance Coordinator role with Prime Capital Financial, LLC . Prime Capital Financial, LLC, a leading Investment Advisory Firm focused on individual wealth management, qualified plans, and the education of plan participants, truly cares about its clients and staff. Our standards are to be the very best, and Prime Capital Financial, LLC is looking for people with the drive, enthusiasm, professionalism, and values we hold so important to work as a Compliance Coordinator based in our Overland Park, KS corporate office.
About Prime Capital Financial
Prime Capital Financial provides a client-centric team approach to full-service financial planning, including fee-based asset management and wealth management through its Prime Capital Wealth brand. Through its Prime Capital Wellness brand, the firm also provides retirement plan advisory services, as well as plan participant education. Prime Capital Financial has 70+ locations throughout the United States, with investment advisor representatives serving clients nationwide. Prime Capital Financial, LLC., a Registered Investment Adviser offers advisory services. For more information, visit
Objectives : The Compliance Coordinator is an integral part of our Compliance teams. The Compliance Coordinator will be responsible for coordinating the overall workflow of the compliance department's day-to-day tasks, assisting the Chief Compliance Officer and the Director of Compliance Operations.
Our Standards : Our overall standard is "industry leading ." Our goal is to provide the very best experience in service to our clients and advisors and provide excellence in compliance operation. As such, our Compliance Coordinators must display:
- Professional Expertise
- An ability to quickly form and maintain a positive, productive relationship with advisors, associates, and external business partners
- Exceptional technology skills
- An ability to learn the financial services industry and understand the objectives for the position
- Tremendous written and oral communication skills
- Ability to adapt quickly and positively to change in the financial services industry
- Superior attention to detail and follow through; accuracy is extremely important
- Excellent organizational and time-management skills; ability to successfully multitask and manage priorities effectively
- Ability to work independently and complete assignments within deadline
- Team player and collaborator
- High standard of professionalism, ethics, confidentiality, and integrity
- Willingness to be proactive
Primary Responsibilities :
- Organize and review files and documents;
- Develop compliance training plans;
- Handle confidential information - reviewing organizing and maintaining such files;
- Manage Compliance department's schedule and travel arrangements
- Prepare reports, presentations, and data; prepares compliance audit data by compiling and analyzing internal and external information
- Provides audit information to management by researching and analyzing data; preparing reports.
- Supports departments by collecting and coordinating internal compliance data with auditors and various departments.
- Quarterly PSQ
- ComplySci Management/Attestations
- Audit Folders/Net Docs uploads
- Trade Violations Audits
- My Rep Chat set up and maintenance
- Monthly Compliance correspondence, check blotters and quarterly gift logs
- Schwab Docusign audits
- Provides administrative support by implementing systems, procedures, and policies; completing projects in support of Chief Compliance Officer and Director of Compliance.
- Helps others by answering questions and responding to requests.
- Updates job knowledge by participating in educational opportunities and reading professional publications.
- Enhances compliance department and organization reputation by accepting ownership for accomplishing new and different requests
- Explores opportunities to add value to job accomplishments.
- Act as a first-line liaison for the Compliance Department
- Other duties as assigned
There are several key areas and responsibilities where Compliance Coordinators must demonstrate professional proficiency:
- Financial industry terminology and account types
- Salesforce data entry and management
- All Compliance technologies used by PCIA
- Detailed and accurate data entry and account processing
- Google Suite and calendar management
- Service Excellence
- Problem Resolution
- FINRA rules and regulations
- PCIA Policy and Procedures and Code of Ethics
Education/Experience
- High school Diploma required
- Bachelor's Degree preferred or equivalent financial services industry experience
- Financial Services Industry experience preferred
- Google Suite, Salesforce, Microsoft Suite, Adobe skills required
- Successful completion of industry standard background screening required
- Industry licensing is not required for this position, but will be an option for future professional growth
Benefits
- Health, Dental, Vision, Group Life & Disability, HSA
- 401(k)
- Teladoc
- Generous PTO
- 12 paid holidays
- EAP program
- Voluntary Group Life and AD&D; Aflac; Nationwide Pet Insurance
- Financial Wellness Education
- Professional Development opportunities
Work Remotely
- No
Job Type: Full-time