Compliance Examiner L1 (2867)

12800 Corporate Hill DriveSt. Louis,MO 63131 Reference Code 130509 Job Description Compliance Examiner L1 (2867) DescriptionFor more than 25 years, Scottrade has been a leader in the stock brokerage industry, a leader in technology, a leader in customer service and a leader in value. Headquartered in St. Louis, Missouri, the firm allows investors to conveniently place trades online while offering the added assurance of America's largest branch office network among online brokerage firms. With Scottrade, investors have the stock trading tools and services they need to take control of their investing needs. Scottrade is proud to provide premium service and deeply discounted commissions to investors of all trading styles and we hope to continue to exceed our customers' expectations by providing the best price, the best service and the best technology.In January of 2008, Scottrade was named one of FORTUNE Magazine's Best Companies to Work for in America. Our corporate culture is based on customer service and employee excellence, and employment at Scottrade means working for a company that is constantly growing. At Scottrade, we believe in customer service, professionalism, and each other. Click here to learn more about Scottrade. Duties and Responsibilities: Communicate Compliance policies and regulations to employees and internal business units. Stay current with changes in regulations and industry practices. Review firm wide emails to detect any violations in company policies or regulatory violations. Investigate and respond to regulatory inquiries. Investigate and respond to verbal and written customer complaints. Analyze the facts to determine whether the complaint may have merit Apply rules/regulations of firm/FINRA/SEC to various situations Explain rules/regulations/solutions to customers Travel to branch offices to perform annual audits. Participate in annual Compliance meetings/discussions with Scottrade employees. Respond to customer/branch/internal departments questions. Approve branch office correspondence before it is sent to customers. Provide branch offices and business units with guidance on unique or escalated circumstances. Other projects/duties as assigned.Required Skills Series 7, 63 licenses Series 24 license or must be able to obtain within 3 months Clean U4 securities record 2 to 3 years industry experience required; experience in an online brokerage firm preferred Great attention to detail Self-starter with strong decision making abilities Excellent customer service skills Prior customer service experience preferred Excellent written and verbal communication skills Must be able to maintain a high degree of confidentiality Ability to explain brokerage rules/regulations/solutions in great detail to customers/employees and apply them to various situations Ability to handle multiple tasks Ability to work in a fast paced environment Strong knowledge of Word, Internet Explorer, and Excel Extensive research/problem solving/analytical skills Ability to travel 4 to 6 weeks/year Excellent organizational skills Foster company success through a professional appearance, being courteous to customers & all Scottrade associates, and by having a positive attitude.Required ExperienceBachelors degree in Finance or Business or related field or equivalent experience preferred. Scottrade, Inc., an equal opportunity employer, is committed to inclusion and a diverse workforce. Scottrade is an online brokerage firm that provides customers with a way to inexpensively manage their own investments while still receiving exceptional customer service. Headquartered in St. Louis, Missouri the firm allows investors to conveniently place trades online while offering the added assurance of over 300 branch offices nationwide. Scottrade’s culture is based on customer service and employee excellence. Employment at Scottrade means working for a company that is constantly growing and changing; at Scottrade, we believe in customer service, professionalism and each other. Please visit the Scottrade Career Center for more information about our company. Scottrade, Inc., an equal opportunity employer, is committed to inclusion and a diverse workforce.