Correspondence Review Specialist -Role: Review all incoming documentation to the Institutional Services division, in line with FINRA requirements requiring approval by an authorized firm principal. Subject matter expert related to the regulatory requirements needed for a variety of services and transactions. -Responsibilities: -Review documentation to ensure that it is compliant to company procedures and the rules and regulations of the securities industry -When necessary, compose written assessments that clearly and concisely convey deficiencies, additional requirements, and/or provide solutions or alternatives for resolving client issues of varying complexity -Recognize potential problems and high risk accounts and escalate them accordingly -Research, resolve and follow-up on applicable transfers, cash movements, document restrictions on accounts and release restrictions when issues are resolved -Analyze all paperwork received, document and notify clients of pending issues, work closely with clients for resolution, and accurately process accounts, as they are resolved -Keep current with industry regulations, company policies, & Institutional products/services to effectively enforce compliance and manage risk -Serve as a subject matter expert to 2 or more back office specialty areas and perform basic functions in all areas -Requirements: -2-3 years related experience -3+ years total experience -Military education or experience may be considered in lieu of civilian requirements listed -Minimum of 2+ years of Operations or Advisor Services experience required -Proficiency in Microsoft Word, Excel and Outlook required -Mastery experience in 1 back/middle office function (cash management, Transfers, New Accounts) required -Research and resolution experience preferred -Series 7 and 63 (or equivalent) required, Series 24 preferred or must be able to obtain within 90 days -2 Year College Degree required -4 Year College Degree preferred -Military education or experience may be considered in lieu of civilian requirements listed