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.
Your role and impact
Here's a glimpse of your responsibilities and the meaningful impact you'll create as the Book and Records Clerk:
- 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
What's in it for you
- Competitive pay: Fair compensation for your hard work.
- Healthcare coverage: Comprehensive medical, dental, and vision from day one.
- Life insurance: Company-paid coverage for you and your loved ones.
- 401(k) plan: Matching contributions to help secure your financial future.
- Family support: Paid parental leave and reimbursement for adoption and surrogacy expenses.
- Work-life balance: Flexible time-off policy to recharge and pursue passions.
- Dress for your day: Express your style comfortably at work.
- Inclusion and Culture: A respectful environment that values unique contributions.
- Flexible work options: Remote, hybrid, and onsite opportunities at various locations across the U.S. for better work-life integration.
- Well-being focus: Programs to support a healthy balance between work and home life.
What sets you up for success
- 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
Preferred
- 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
Skills Required
- High school diploma
- 1-3 years of experience in administrative, operations, or financial services
- Strong attention to detail
- 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
- 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
What We Do
Constellation® is a growing portfolio of medical professional liability insurance and partner companies including MMIC, UMIA, Arkansas Mutual and MMIC RRG. We were formed in response to the ever-changing realities of health care and dedicated to reducing risk and supporting physicians and care teams, thereby improving business results. We help medical professionals attain their dream to help, heal, and serve. Our strategy is based on the fundamental belief that together we are stronger, that by sharing resources and expertise, we can help physicians, health care teams and health care institutions reduce risk, improve care and increase profitability. The best part is, what we do is good for everybody. This is how we arrived at our brand strategy, ”Together for the common good.” By working together, we all become part of something bigger than ourselves." Our insurance protects something we can all get behind: Your commitment to provide the very best in care For decades we have been backing the great work of physicians, clinics, hospitals, health systems and senior living communities throughout the country. And, we're mutual—our policyholders are owners, and their influence and expertise help guide the decisions that have made us financially strong for more than three decades. And, our policies come with brainpower—our responsive team is here to answer your questions, help you manage unanticipated situations, and keep you current in the ever-changing health care industry. We offer webinars, assessments and events, plus data analytics and action plans—all designed to help you minimize your risks and improve patient safety practices, using data-informed, customized action plans.
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