Responsible for ensuring accuracy and completeness of US and Canadian employment applications received in Background Review for Headquarters, Branch Office Administrator, and Financial Advisor candidates.
Works directly with candidates, our vendor, and the Talent Acquisition areas to ensure background reviews are started in compliance with department guidelines, and to identify and resolve application discrepancies and process concerns.
Works directly with candidates and the Talent Acquisitions areas, both in the US and Canada, to resolve discrepancies between information obtained independently, or via CRD, and that provided by the candidate on the employment application.
Works with candidate to request and obtain documentation needed to complete the background check.
Works with FINRA to retrieve CRD and Department of Justice information on applicants and associates.
Tracks Talent Acquisition error rates and provides updates to the Talent Acquisition areas.
Reconciles vendor billing for Background Review vendors.
Bachelors degree preferred with emphasis in human resources, business, criminal justice or paralegal studies a strong plus.
2 years with an emphasis in human resources, criminal justice, talent acquisition, paralegal, or securities industry compliance a strong plus.
Foundation level understanding of relevant securities regulations and employment law.
Strong critical thinking and must be able to analyze and diagnose complex situations/issues.
Good organization and follow-up skills.
Must be able to handle high volume of request and deadlines while operating with a functional awareness of all aspects of the policy and legal implications of making hiring decisions.
Situations involving applicants are never identical; therefore the ability to determine what information is relevant, locate the information across multiple external sources, and reach an appropriate conclusion based on the combined information is critical.
Must be able to effectively, and in a diplomatic and disarming manner, communicate on sensitive and emotional issues with candidates, recruiters, and firm vendors.
Must develop / have a good working understanding of third party systems including First Advantage, BIG, WebCRD, PeopleSoft, Apex, and Virtual Edge applicant tracking system.
Awards and Accolades
At Company, we help clients achieve their serious, long-term financial goals by understanding their needs and implementing tailored solutions. To ensure a personal client experience, we have located our 14,000+ branch offices where our more than 7 million clients live and work. A typical branch office has one financial advisor who meets with clients face-to-face and one branch office administrator who enhances the team's ability to build deep relationships with clients. Headquarters associates in St. Louis and Tempe provide support and expertise to help U.S. and Canada branch teams deliver an ideal client experience. Company currently has more branch offices than any other financial services firm, and we continue to grow to meet the needs of long-term individual investors.
Awards and Accolades
For the 19th year, Company was named one of the “100 Best Companies to Work For®” by FORTUNE magazine in its annual listing. The firm ranked No. 5 overall. These 19 FORTUNE rankings include top 10 finishes for 15 years, top 5 rankings for eight years and consecutive No. 1 rankings in 2002 and 2003.
Company does not discriminate on the basis of race, color, gender, religion, national origin, age, disability, sexual orientation, pregnancy, veteran status, genetic information or any other basis prohibited by applicable law.