- Review and approve new business and transaction related requests, including but not limited to T+1/post-transaction review through the use of electronic imaging and our workflow systems.
- Process and resolve post transaction cases in NIGO queues, confirm or override NIGOs, approve business as appropriate.
- Provide assistance to Sr. Principals in performing day-to-day responsibilities as directed.
- Assist with any special approvals or projects related to risk management.
- Assist in reviewing and updating the following tools: PASS Form, Rollover Tool, Benchmarking Data, 529/Breakpoint Resources, etc.
- Assist in reviewing and updating principal review guidelines.
- Assist in reviewing eDeposit check ledger monthly to monitor, review, and identify rollover transactions defined by the DOL and ensure compliance.
- Provide research support regarding the Consolidated Audit Trail (CAT) and assist with resolving any deficiencies.
- Assist in reviewing MSRB trade reconciliation reports and ensure transactions are compliant with the MSRB regulations and rules.
- Ensure compliance with Written Supervisory Procedures (WSP) and Anti-Money Laundering (AML) program.
- Notify management when potential business risks on business submitted have been identified and business is not in accordance with compliance guidelines and regulatory requirements.
- Maintain knowledge of current regulatory requirements (i.e. RegBI, DOL, MSRB, etc.).
- Record detailed notes in CRM for further processing by other team members and for use for regulatory requirements and audits.
- Provide backup assistance to other team members as business needs dictate, (i.e. Investment Operations call queue).
- Perform other tasks assigned by management.
- Strong knowledge of financial industry, regulations, and investment products
- Strong knowledge of Valmark Operations procedures, paperwork, and processing
- Strong knowledge of various technologies: Microsoft Office and CRM, OnBase, MyCase, LaserApp, vendor software (Schwab and Pershing), Albridge, DST Vision
- Strong written and verbal communication skills, with the ability to deal effectively with various people including staff, management, vendors, and Member Offices
- Ability to work in a fast-paced environment and handle multiple projects simultaneously to meet standard level service agreements
- Ability to be a self-motivated, independent worker, while occasionally working effectively in a team environment
- Strong analytical, problem-solving, research skills
- Bachelor's Degree in Finance or related field or 3+ years of financial services industry experience
- FINRA registration: Series 24 or requirement to obtain certification within 6 months of start date
- Life and Health Insurance License
- 5+ years of financial services industry experience
- FINRA registration: Series 53 or equivalent
- Industry designation (CFP, CPA, MBA)
- Certified in operational process improvement (Lean 6 Sigma, Kaizen)
-
Principal Review Specialist
6 days ago
Valmark Securities Akron, United StatesThe Principal is primarily responsible for approving and accepting submitted paperwork as well as reviewing and approving Pershing brokerage and direct business transactions. Principal will accept business risk on behalf of Valmark within compliance guidelines and regulatory requ ...
-
Utilization Review Specialist
2 days ago
The MetroHealth System Cleveland, United States FTLocation: METROHEALTH MEDICAL CENTER · Biweekly Hours: · Shift: 10am to 630pm, mid shift · The MetroHealth System is redefining health care by going beyond medical treatment to improve the foundations of community health and well-being: affordable housing, a cleaner environme ...
-
Coding Specialist II
1 week ago
Akron Children's Hospital AKRON, United StatesFull-Time, 40 Hours/Week · Monday to Friday, 8am - 5pm · Remote with Onsite Requirements as Needed · Summary: · The Coding Specialist II provides training, mentoring, and leadership to Coding Specialist I employees. Responsibilities: · 1. Provides training, mentoring, and leaders ...
-
Finance Manager of Revenue and Grants
1 day ago
CLA (CliftonLarsonAllen) Akron, United StatesCompany/Role Overview: · CliftonLarsonAllen (CLA) Search has been retained by Oriana House to identify a Finance Manager – Revenue & Grants to serve their team. Oriana House, Inc. is dedicated to helping people triumph over addiction and mental illness and to providing community ...
-
Eclaro Summit, United StatesPosition Overview: · The Specialist works cross-functionally to execute validation activities and prepare validation deliverables for S12 Enterprise Manufacturing Execution System (EMES) used in cell therapy manufacturing. · This role is primarily an individual contributor but ...
-
Payroll Specialist
3 days ago
J.W. Didado Electric Akron, United StatesThe Payroll Specialist is responsible for the payroll processing of the company. This position is to include the accurate and timely entry of payroll related items to produce paychecks in accordance with union agreements. The payroll speialist will process a high volume of payrol ...
-
Strategic Inventory Specialist
1 day ago
KB BioEnergy Inc Akron, United States Full timeBenefits:401(k) · 401(k) matching · Company parties · Competitive salary · Dental insurance · Health insurance · Paid time off · Vision insurance · We are looking for a Strategic Inventory Specialist to join our team · The Strategic Inventory Specialist role involves managing an ...
-
RN Transfer Access Specialist
5 days ago
Akron Children's Akron, United States OTHERPart-Time, 24 Hours/Week · Night Shift · Onsite · Summary: · An RN Transfer Access Specialist is a critical part of the Access and Navigation Center by accepting patients for Transport via ???Quick Accept Guidelines??? (QAG), while managing bed assignments and mobilization o ...
-
Innova Solutions Summit, United States ContractInnova Solutions is immediately hiring for an MSEO Manufacturing Systems Validation Specialist · Position Type: Contract · Duration- 06 Months · Location- Summit, NJ · As an MSEO Manufacturing Systems Validation Specialist, you will: Work cross-functionally to execute validation ...
-
Actuary or Associate Actuary
3 weeks ago
Work At Home Vintage Experts Akron, United StatesPut your Insurance Experience to work – FROM HOME · At WAHVE, we value significant insurance experience and want to revolutionize the way people think about phasing into retirement by offering qualified candidates the opportunity to continue their career working from home. As we ...
-
Registered Nurse
1 week ago
Alternate Solutions Health Network Akron, United States Full timeAgency: · Summa Health at Home and HospiceOur culture and people are what set us apart from other post-acute care providers. We're dedicated to the growth and development of our team to set them up for success. We CARE for our patients like they are our own FAMILY. · HOW YOU'LL M ...
-
IT Governance
1 week ago
FirstEnergy Akron, United States Full timeAbout the Opportunity · This is an open position with FirstEnergy Service Co., a subsidiary of FirstEnergy Corp. [SC00] · Compliance is a group within IT Transmission Systems & Compliance with the responsibility for the development, ongoing sustainability, and program consistenc ...
-
Limited Term Telecommunications Specialist
1 week ago
AlienVault Akron, United StatesJob Overview Job Description:LOOKING FOR A COMPANY THAT VALUES YOUR POTENTIAL?A job with AT&T as a Telecommunications Specialist (Engineering) can provide you with exactly thatTake advantage of our paid training and wide range of career possibilities. AT&T offers a competitive sa ...
-
RN - Medical Emergency Team
2 weeks ago
Cleveland Clinic Akron, OH, United StatesJoin us at Cleveland Clinic Akron General Hospital where we have been providing world-class care to our community for over 100 years. Cleveland Clinic is recognized as one of the top hospitals in the nation. At Akron General, we strive for patient-centered care and comfort with o ...
-
Purchasing Specialist
1 week ago
Country Pure Foods Akron, United StatesProcurement Specialist · Our organization is seeking a Procurement Specialist to be a part of our team. This individual will be assisting and working with contracting for assigned commodities according to departmental and organizational policies. · Duties and Responsibilities ...
-
Tax Specialist
5 days ago
Spartan Placements, LLC Akron, United StatesJob Description · Job DescriptionTax Specialist · Responsibilities · Prepares assigned tax returns including but not limited to individuals, trusts, partnerships and private foundations · Prepares the tax files for individuals and trusts using scan software, autoflow data into t ...
-
Risk Analyst
1 week ago
Datascan Technologies, LLC Akron, OH, United States Full timeOffering $10K Sign On Bonus · Position: Field Risk Specialist - This is a Field Based Position so you will not be assigned to a local office, candidates must be located in the Akron, Ohio area. · ABOUT DATASCAN · Headquartered in Alpharetta, Georgia, DataScan stands at the for ...
-
Legal Specialist
1 week ago
Signet Jewelers Akron, United StatesWe have many opportunities available on our other career site pages. Click here to link to our careers page · Signet Jewelers is the world's largest retailer of diamond jewelry, operating more than 2,800 stores worldwide under the iconic brands: Kay Jewelers, Zales, Jared, H.Samu ...
-
Pap Intake Specialist
1 week ago
AdaptHealth LLC Akron, United StatesAdaptHealth Opportunity - Apply Today · At AdaptHealth we offer full-service home medical equipment products and services to empower patients to live their best lives - out of the hospital and in their homes. We are actively recruiting in your area. If you are passionate about m ...
-
Tax Specialist
1 week ago
Spartan Placements LLC Akron, United StatesTax Specialist · Responsibilities Prepares assigned tax returns including but not limited to individuals, trusts, partnerships and private foundations · Prepares the tax files for individuals and trusts using scan software, autoflow data into tax return preparation software and ...
Principal, Review Specialist - Akron, United States - Valmark Financial Group
Description
Job Description
Job DescriptionThe Principal is primarily responsible for approving and accepting submitted paperwork as well as reviewing and approving Pershing brokerage and direct business transactions. Principal will accept business risk on behalf of Valmark within compliance guidelines and regulatory requirements including resolving Not in Good Order (NIGO) business related to RegBI, DOL, and suitability.Essential Functions and Responsibilities
Core competencies
Supervisory Responsibility
The Principal, Review Specialist will not have any supervisory responsibilities.
Required Education and Experience
Preferred Education and Experience
Physical Demands
This is a largely sedentary role; however, some walking is required. Individuals may need to sit or stand as needed. This position may require walking primarily on a level surface for short periods of time.
Expected Hours of Work
Days and typical hours of work are Monday through Friday, 8:30 a.m. to 5:00 p.m. Flexibility in working hours may be allowed, but the employee must work 40 hours each week to maintain full-time status.
Valmark reserves the right to modify, interpret, or apply this job description in any way the Company desires. This job description in no way implies this is an all-inclusive list of responsibilities to be performed by the Employee in this position. This job description is not an employment contract, implied or otherwise. The employment relationship remains "at-will".
Job summary
&v=024){kind=logo}
