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Compliance Specialist at Yoh

Posted in Compliance 30+ days ago.

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Type: Full Time
Location: San Diego, California

Job Description:


Compliance Specialist needed for a FULL-TIME CONTRACT opportunity for Yoh's client located in SAN DIEGO, CA!


Schedule: Monday - Friday, 40 hrs/week

Length of Contract: 3 - 6 months

A Compliance Specialist on our client's Marketing Service Team will provide superior customer service to a large base of financial advisors and their staff, financial institutions, and home office employees as the first line of contact for various Advertising Compliance related issues. This position will serve as a resource for the Marketing team, whose focus is primarily to ensure compliance with applicable industry rules (State, SEC and FINRA regulations) and company policies regarding Communications with the Public.

You must possess strong problem solving skills, great customer service and be willing to take ownership of issues through resolution and have the ability to coordinate effectively with internal departments to improve processes.


1. Provide superior customer service to financial advisors and their staff, financial institutions, and home office employees by handling inquiries via phone and email, with a focus on overall service.

2. Research complex situations, set customer expectations, and define the actions necessary to resolve the situation.

3. Communicate operational and financial industry policies and procedures

4. Answer 30 - 40 incoming calls and 15 - 20 emails per day from Advisors and their support staff, Financial Institutions and other members of the firm


1. Assume ownership of the inquiry and see it through to a timely resolution

2. Communicate with internal departments to improve processes and timely processing

3. Escalate items to Marketing Management in a timely manner when necessary

3. Acting proactively to identify any potential issues

4. Ability to work in a fast paced environment to handle multiple and competing deadlines and handle high volume


* Bachelor's degree preferred

* 1-2 years of previous customer service experience required

* Industry experience required - previous Broker Dealer experience a major plus!

* Compliance/Marketing Regulatory Review experience considered a plus

* S7 and S24 considered a plus

* Knowledge of FINRA, SEC, MSRB and State rules and regulations

* Strong MS Office skills

* Salesforce experience a plus!

* Strong customer focus, excellent verbal and written communication skills, a strong work ethic, and extremely organized


One of the nation's largest financial brokerage firms located in the UTC/La Jolla area. This company has strong values in professional growth and development, they promote from within. They have onsite amenities such as a fitness room, sauna, cafeteria, and onsite coffee shop.


* Medical, Dental & Vision Benefits

* 401K Retirement Saving Plan

* Life & Disability Insurance

* Direct Deposit & weekly epayroll

* Employee Discount Programs

* Referral Bonus Programs


Yoh makes finding and applying for jobs simple. Partner with Yoh to find the right opportunities across multiple industries in the US and UK. Find out more by visiting!

Yoh, a Day & Zimmermann company, is an Equal Opportunity Employer, M/F/D/V. Please contact us if you are an individual with a disability and require accommodation in the application process.