Advisor Onboarding Analyst

Aston Carter

The Advisory Onboarding Analyst is a first line defense function responsible for the review of high-risk representatives wishing to join, review of Outside Business Activity and Private Securities Transaction Requests, as well as initial marketing materials for prospective representatives. The Advisory Onboarding Analyst will work closely several departments/groups. Specific areas of responsibility include, but are not limited to:

  • First line supervisory responsibility to conduct due diligence review on prospective representatives.
  • Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors.
  • Review initial marketing materials such as stationery, announcement letters, and websites.
  • First line supervisory responsibility to conduct due diligence review on Office Sharing Arrangements
  • Interact with advisors, business consultants and various internal departments as well as Sr. Management in fully evaluating and communicating compliance determination, as well as coordination of special projects and investigations.
  • Work with assigned business units and provide supervisory expertise and consulting for projects and initiatives.
  • Assist with regulatory exams and requests as well as assist with other internal investigations and reviews.
  • Create and analyze departmental metrics to assist to boost overall efficiency and productivity.
  • Perform other duties and complete ad hoc projects as assigned.
  • Licenses/Certifications Required: *
  • FINRA Series 7
  • FINRA Series 24 and
  • FINRA Series 63 or 66
  • Undergraduate degree in Business, Accounting, Finance or related discipline preferred.
  • Minimum of 3-5 years industry experience as Advisory Onboarding Analyst
  • Experience with all Microsoft applications, particularly, Excel, Word, PowerPoint, SharePoint.
  • Familiarity with Salesforce , Adobe Pro and Oracle a plus.
  • Other Job Duties:*
  • Ability to work in a fast paced/high volume environment.
  • Knowledge of FINRA SEC, and State rules and regulations
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential.
  • Excellent oral and written communication skills
  • Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role
  • Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential.

About Aston Carter:

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At Aston Carter, we’re dedicated to expanding career opportunities for the skilled professionals who power our business. Our success is driven by the talented, motivated people who join our team across a range of positions – from recruiting, sales and delivery to corporate roles. As part of our team, employees have the opportunity for long-term career success, where hard work is rewarded and the potential for growth is limitless. Established in 1997, Aston Carter is a leading staffing and consulting firm, providing high-caliber talent and premium services to more than 7,000 companies across North America. Spanning four continents and more than 200 offices, we extend our clients’ capabilities by seeking solvers and delivering solutions to address today’s workforce challenges. For organizations looking for innovative solutions shaped by critical-thinking professionals, visit []( Aston Carter is a company within Allegis Group, a global leader in talent solutions. The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please call 888-237-6835 or email []( for other accommodation options. However, if you have questions about this position, please contact the Recruiter located at the bottom of the job posting. The Recruiter is the sole point of contact for questions about this position.

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Added 12 days ago
Business Analyst
United States
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