Investment Onboarding Specialist and Compliance Associate

Job Description

Job Description

Essential Duties and Responsibilities

(Additional duties may be assigned)

• Assist the Chief Compliance Officer (CCO) with compliance functions and regulatory requirements
• Support compliance with SEC and state regulations, including maintaining compliance records and assisting with audits and examinations
• Correspond with clients and financial advisors to accurately prepare, process, and complete client on-boarding documentation for new account openings
• Review new account paperwork for accuracy, completeness, and compliance prior to submission
• Organize, coordinate, and maintain client and compliance-related documentation in accordance with record retention requirements
• Utilize CRM and custodial platforms to track client information, tasks, and workflows
• Perform general administrative and office support functions as required

Minimum Requirements

• Minimum of 3 years of experience in the financial services industry
• Prior experience with client on-boarding, compliance, and brokerage account opening. Experience working in compliance or new account opening from large national institutions a plus (Vanguard, Fidelity, TIAA, Wells Fargo, Merril Lynch ect.
• Strong initiative with the ability to work independently and as part of a team
• Positive, professional attitude with a strong client-service mindset
• Exceptional attention to detail and accuracy
• Strong organizational, prioritization, and time-management skills
• Excellent interpersonal and communication skills, both verbal and written
• Ability to define problems, collect and analyze data, establish facts, and draw valid conclusions
• Ability to investigate, research, and resolve issues or concerns in a timely manner
• Proficiency with Microsoft Office Suite (Outlook, Excel, Word, PowerPoint)
• Ability to quickly learn and effectively utilize CRM systems, custodial platforms, and reporting tools

Aspire Private Capital is a Comprehensive Wealth Management firm located in the Lake Norman area above Charlotte NC. We specialize in holistic wealth management encompassing Investment, Tax and Estate Planning. We work with many high net worth families that are searching for advanced planning beyond simple investment management. We have a very successful new client acquisition program both holistic and active outside marketing. We work closely with local CPA’s and Attorney’s in helping our clients to become more tax efficient to enhance their returns. This approach separates us from the standard investment firms and is a key reason so many new clients are joining us. We provide a work environment that is more enjoyably client focused and less metrically pressure driven as in many of the larger firms. We prefer to promote from within if possible as we continue to grow. We anticipate Aspire Private Capital evolving and having exponential growth for our immediate and long-term future goals.

Company Description

Aspire Private Capital is a Comprehensive Wealth Management firm located in the Lake Norman area above Charlotte NC. We specialize in holistic wealth management encompassing Investment, Tax and Estate Planning. We work with many high net worth families that are searching for advanced planning beyond simple investment management. We have a very successful new client acquisition program both holistic and active outside marketing. We work closely with local CPA’s and Attorney’s in helping our clients to become more tax efficient to enhance their returns. This approach separates us from the standard investment firms and is a key reason so many new clients are joining us. We provide a work environment that is more enjoyably client focused and less metrically pressure driven as in many of the larger firms. We prefer to promote from within if possible as we continue to grow. We anticipate Aspire Private Capital evolving and having exponential growth for our immediate and long-term future goals.