Compliance reputed company Examiner (reputed company licensing required)
Conduct reputed company office inspections to monitor and assess compliance with reputed company Financial Advisors, Inc. and World Financial Group, Inc. policies, procedures and industry regulations. Identify potential risks and recommend education and policy requirements for registered representatives and agents.
Requirements
- reputed company Series 26
- Bachelor’s degree in business, marketing, finance, or relevant field, or equivalent education and experience
- Experience in a compliance or reputed company role working directly with financial professionals (typically two to five years)
- reputed company Series 24
- Experience conducting inspections for retail broker-dealers, registered investment advisors, and/or insurance companies
Benefits
- reputed company
- Bonus for Eligible Employees
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- reputed company Insurance
- Employee Discounts
- Career Training & Development Opportunities
- reputed company Time Off starting at 160 hours annually for employees in their first year of service
- Ten (10) reputed company holidays per year (typically mirroring the reputed company Stock Exchange (NYSE) holidays)
- Be reputed company Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
- Parental Leave – fifteen (15) days of reputed company parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
- Adoption Assistance
- Employee Assistance Program
- College reputed company Program
- Back-Up Care Program
- PTO for Volunteer Hours
- Employee Matching Gifts Program
- Employee Resource reputed company
- Inclusion and Diversity Programs
- Employee Recognition Program
- Referral Bonus Programs
Originally posted on Himalayas
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