Operations and Compliance Officer

Operations / Compliance Officer – Full Time

Jumet Financial is committed to providing our clients with well-informed, objective advice, and to create a disciplined framework within which financial decisions are made, implemented, and managed from generation to generation. Jumet Financial is seeking a highly efficient and detail-oriented individual with the same strong standards for the role of Operations / Compliance Officer. The position requires a high level of confidentiality and professionalism, excellent time and project management skills, and the ability to manage multiple work streams (both internal and external) at once. The qualified candidate must show high regard for operational efficiency and high moral integrity.

Primary Duties and Responsibilities:

• Assist in operational and compliance oversight, monitoring for adherence with internal and external policies, procedures and regulatory requirements
• Identify employee training needs and assist with training on various policies and procedure as needed, including new hire orientation
• Assist with performing and/or developing operational and compliance reporting, including monitoring for the timely submission/completion of account setup/maintenance requests, as well as any account closures
• Assist with administration of CRM tool, with a focus on building out additional functionality and reporting for the business, including workflows and automations
• Provide employee support for the CRM system and assist in the tracking and completion of CRM activities and updates
• Assist employees with regulatory licensing and registration needs
• Assist in development of necessary desktop procedures for the business across all job functions and teams
• Maintain operational documents (spreadsheets, etc.) and assist in various internal projects, and attend various internal meetings
• Cultivate internal relationships to further develop operational and compliance culture and framework
• All Jumet Financial employees are required to help serve our community through initiatives planned by the Jumet Financial Team
• Assist with other duties as required by management

Qualifications:

• Bachelor’s degree in progress or in a business-related field and willingness to continue education towards certifications and/or advanced degrees
• Prior experience with Client Relationship Management Systems, such as Redtail, preferred.
• Strong passion to work in and succeed in the financial industry
• Willingness to obtain various securities and insurance registrations (upon request)
• Excellent Computer skills (MS Word, Excel, PowerPoint, and Outlook)
• Excellent communication skills (spelling, grammar and proofreading written skills and verbal skills)
• Excellent organizational and time management skills
• Ability to prioritize and multi-task 
• Ability to exercise confidentiality and discretion