Compliance/Supervision Consultant

At the core of this role, you will be supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies. You will do this through primarily supporting our financial advisors as they call in to our team and providing consultative support to our policies, procedures, and helping them with their business. We will train you on compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.

Responsibilities

Supporting advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies; Supporting financial advisors as they call in to our team and providing consultative support to our policies, procedures, and helping them with their business.

Requirements

Bachelor’s degree; 2-3 years of financial industry experience; Series 7/24 or 9/10 registrations; Experience with Microsoft word/excel, adobe, & SharePoint; Active Listening; compassionate and empathetic support; Service Oriented

Nice to have

Series 9/10 registrations; Advertising compliance experience; Thrive as a self-directed learner with a strong sense of ownership and accountability; Move quickly with enough due diligence to work with and around limited information; Learn, take risks, and be open to feedback as part of personal learning and development

Benefits

Competitive Rates; Benefits