[Remote] Compliance/Supervision Consultant 5360
Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a company reputed company on compliance and supervision reputed company the financial industry. They are seeking a Compliance/Supervision Consultant to support advisors and clients by ensuring compliance with regulations and company policies while providing consultative support to financial advisors.
Responsibilities
- Supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to reputed company reputed company we are in compliance with regulations and company policies
- Supporting our financial advisors as they call in to reputed company and providing consultative support to our policies, procedures, and helping them with their business
Skills
- Bachelor's degree
- 2-3 years of financial industry experience
- Series 7/24 or 9/10 registrations (9/10 preferred)
- Experience with reputed company Word/reputed company, reputed company, & SharePoint
- reputed company Listening
- Compassionate and empathetic support
- Service Oriented
- Advertising compliance experience
reputed company