ONESCO Books & Records Administrator

Constellation Insurance, Inc.•Montgomery, OH

9d•Hybrid

About The Position

The Book and Records Clerk is responsible for maintaining accurate client account records, supporting regulatory communications, and ensuring adherence to FINRA and SEC requirements. This role plays a critical part in safeguarding the organization's regulatory compliance by validating data integrity, executing required recordkeeping processes, and facilitating timely communication with internal stakeholders and external partners.

Requirements

High school diploma
1-3 years of experience in an administrative, operations, or financial services environment
Strong attention to detail with a high degree of accuracy
Proficiency in Microsoft Office (Excel, Outlook, Word)
Effective written and verbal communication skills
Strong organizational and time management abilities
Ability to manage multiple priorities in a fast-paced environment
Ability to work independently and collaboratively within a team
Adaptability in a changing regulatory or operational environment

Nice To Haves

3-5 years of experience in a broker-dealer or regulated financial services environment
Working knowledge of broker-dealer operations and regulatory requirements (FINRA/SEC)
Experience with NetX360+, Albridge, or similar financial systems
Familiarity with regulatory recordkeeping and compliance processes

Responsibilities

Maintaining and updating client account records to ensure accuracy, completeness, and compliance with regulatory requirements
Reviewing account data across multiple systems (e.g., NetX360+, Albridge, internal platforms) to validate consistency and resolve discrepancies
Monitoring account statuses, representative assignments, and related data elements to ensure proper documentation and alignment
Analyzing data sets to identify errors or gaps and take corrective action in a timely manner
Applying knowledge of regulatory and product requirements to ensure records meet minimum compliance standards
Serving as a point of contact for sponsor companies and external partners regarding account updates and record changes
Processing inbound communications and data feeds, ensuring accurate and timely updates to internal systems
Communicating updates through various channels including email, phone, and external portals
Collaborating with internal teams and field representatives to ensure alignment and completion of required updates
Executing regulatory mailings triggered by account activity or compliance requirements
Reviewing reports and data supporting mailings to ensure accuracy and completeness prior to distribution
Ensuring all communications are delivered in accordance with FINRA and SEC recordkeeping standards
Supporting audit readiness and regulatory reviews by maintaining organized and accurate documentation