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    Compliance Specialist - Los Angeles, United States - Bishop Gold Group

    Bishop Gold Group
    Bishop Gold Group Los Angeles, United States

    1 week ago

    Default job background
    Accounting / Finance
    Description

    Bishop Gold Group is seeking a diligent and analytical Compliance Specialist to support our growing Sales team in our West LA office. This person will be instrumental in ensuring that our Sales representatives are adhering to all company and legal guidelines while they are conducting phone calls. The primary duty of this role is listening to and auditing a high volume of phone calls/conversations, and immediately correcting and documenting any findings, while ensuring company compliance with relevant laws and regulations.

    Must have relevant experience auditing calls/conversations and marketing materials in a Financial Services and/or Call Center environment, and familiarity with SEC/FTC rules and regulations.

    Duties:

    • Listen to and audit a high volume of phone calls
    • Document, report and correct noncompliant behavior directly to Sales management/representatives
    • Stay up-to-date and familiar with company and legal policies, SEC/FTC rules and regulations and new legislation and political news
    • Report findings and solutions to management

    Preferred Qualifications:

    • 1+ year in a similar role
    • Familiar with SEC/FTC rules and regulations
    • Salesforce CRM experience
    • Highly analytical and detail oriented
    • Able to use sound judgment and work independently, with minimal supervision
    • Excellent interpersonal, oral, and written communication skills

    Perks:

    • Health benefits and company matched 401k
    • Accrued paid time off
    • Friendly office culture and atmosphere. Coffee bar, snacks, occasional lunches
    • Potential for advancement for the right candidate

    Physical Demands:

    • Must be able to remain in a stationary position at least 50% of the time
    • Constantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer
    • Must be able to effectively communicate with co-workers, vendors and other third-parties

    Hours of operation are Monday through Friday, 7:00 am - 4:00pm PST.

    Equal Opportunity Employer

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