Job Title: Compliance Supervision Specialist
Location: Milwaukee, WI preferred OR Remote, United States (CST hours required)
Contract Length: 6+ months with the expectation of extension or conversion.
Job Description:
At the core of this role, you’ll be supporting our Fortune 500 client's advisors and clients in reviewing various investment transactions (e.g., new accounts, subsequent transactions, monitoring trades) to ensure compliance with regulations and company policies. We provide comprehensive training on compliance regulations and company policies. What we seek from you is a keen interest in learning technical subjects and integrating that knowledge with your existing capabilities and experience. For this role in particular you will be supporting the phone queue (30 hours/week) and processing (10 hours/week).
What Makes You a Great Fit for Our Team?
Must-Haves for This Role:
Role and Responsibilities:
This position requires possession of FINRA Series 7 and 24 licenses, or Series 7, 9, and 10 licenses to be considered. The primary responsibility involves ensuring compliance of investment transactions within our system, which flags potential issues. A significant focus will be on the review process for new accounts, ensuring all necessary paperwork is properly completed to initiate new accounts. Prior experience in supervision is highly beneficial.
Top 3 Skills: