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Title

AAM Trade Review Specialist 

EOE StatementWe are an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law.
 
Division Arvest  
Location 921 W. Monroe  
Location AR, Lowell  
Full-Time/Part-Time Full-Time  
Exempt/Non-Exempt Exempt  
Grade 14 SSMET  
Accepting applications through November 18, 2013  
Details Position is Monday through Friday 8 am to 5 pm with ability to work overtime as needed.  
Preferred Qualifications See Below  
Description

SUMMARY: Under the supervision and direction of the Chief Compliance Officer the incumbent is responsible for conducting principal review of regulatory required activities within the firm. In addition, the incumbent will focus on a broad range of duties in the investment and insurance compliance areas. These will require a strong understanding of firm policies, regulatory rules, and federal regulations. 

ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.

  1. Maintain a strong understanding of firm policies and regulatory rules as outlined in the written policies and procedures manual.
  2. Review and approve new account applications on various platforms.
  3. Review all trading activity and ensure that all suitability policies have been followed.
  4. Review and approve all trades that are entered on the firm’s platforms or trade review systems. Non-approved trades will be referred to the supervisor.
  5. Prepare management review reports that clearly communicate trade review activities.
  6. Review daily exception reports and make inquiries as needed to resolve any findings or concerns.
  7. Review and approve correspondence with clients.
  8. Attend training sessions & other meetings as requested. 

TEAM ACCOUNTABILITIES:

  • Support and uphold the Arvest Mission Statement.
  • Maintain a high level of cooperation and rapport with all associates in order to ensure accurate and efficient operations and service.
  • Formulate and communicate new ideas and suggestions that will improve profitability and efficiency for the bank's overall operation.
  • Promote professionalism at all times.
 
Position Requirements

QUALIFICATION REQUIREMENTS:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential functions.

EDUCATION and/or EXPERIENCE:

  • Associates Degree in finance-related area or equivalent field experience required.
  • Three (3) years customer service experience required.
  • Three (3) years experience in investment services required.
  • Three (3) years in a principal review related work area preferred.
  • A working knowledge of investment sales business.
  • Licenses required include Series 7, Series 66 (or 63 & 65), Life & Annuity Insurance and Series 24.

OTHER SKILLS AND ABILITIES:

  • Must possess a strong level of knowledge of investment sales and trust services business required.
  • Must be able to arrive at work on time, work on site and have regular work attendance
  • Must be able to work cooperatively with other co-workers regardless of personality, presence or communication style
  • Must be able to provide cordial customer service regardless of customer personality, presence or communication style
  • Must be able to perform several tasks at once
  • Must be able to work in a stressful atmosphere
  • Must be able to rotate job tasks
  • Must be able to greet others cordially
  • Must be able to coordinate multiple and changing priorities
  • Must be able to verbally communicate with all other associates
  • Must be able to operate telephone, scanner, copier and FAX machines
  • Must be able to occasionally work outside of normal business hours.
  • Must be able to move from department, division, or bank to department, division, or bank to attend meetings
  • Must be able to operate personal computer keyboard in order to create reports, schedules and other appropriate documentation

PHYSICAL DEMANDS:

The physical demands described here are representative of those that must be met by an associate to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential functions.

While performing the duties of this job, the associate is regularly required to stand, walk, sit, and to talk and hear. The associate must occasionally reach with hands and arms; stoop, kneel, or crouch.

The associate must occasionally lift and/or move up to 25 pounds.

The associate must be able to travel frequently by themselves within the US, including overnight, and via automobile and air.

Specific vision abilities required by this job include close, distance and color vision and the ability to adjust focus.

WORK ENVIRONMENT:

The work environment characteristics described here are representative of those an associate encounters while performing the essential functions of this job. Reasonable accommodations may be made to enable qualified individuals with disabilities to perform the essential functions.

The noise level in the work environment is usually moderate.

 
Category Asset Management  
About the Organization As a provider of financial services, our #1 focus is our customers. We are people helping people find financial solutions for life. That is our culture ' that is who we are as an organization.

As an employer, our #1 focus is our associates. We offer competitive compensation, comprehensive benefits and an engaging work environment driven by the desire to serve our customers and communities.

With over 315 locations in Arkansas, Oklahoma, Missouri and Kansas, we offer a variety of jobs. Whether you are looking for full-time or part-time employment, Arvest has the opportunity for you.

Arvest is an affirmative action/equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, religion, color, national origin, sex, age, status as a protected veteran, among other things, or status as a qualified individual with disability.

 

This position is currently not accepting applications.

To search for an open position, please go to http://ArvestBank.isg2.com



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