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Compliance Consultant
USA
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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?

  • Thrive as a self-directed learner with a strong sense of ownership and accountability.
  • Ability to move quickly with due diligence in navigating around limited information.
  • Willingness to learn, take risks, and embrace feedback as part of personal growth.


Must-Haves for This Role:

  • Bachelor's degree.
  • 2-3 years of experience in the financial industry.
  • FINRA Series 7 and 24 Licenses OR FINRA Series 7, 9 and 10 Licenses required to be considered
  • Proficiency with Microsoft Word, Excel, Adobe, & SharePoint.


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:

  • Supervision Experience
  • Attention to Detail
  • Financial Services Background
  • Ability to Navigate Grey Areas and Problem Solve



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