Compliance Supervision Consultant

Company: VirtualVocations
Location: Orange
Posted on: October 28, 2024

Job Description:

A company is looking for a Compliance Supervision Consultant to support compliance in investment transactions for financial advisors and clients.

Key Responsibilities

Review investment transactions to ensure compliance with regulations and company policies
Conduct thorough reviews of new accounts and ensure proper documentation is completed
Monitor trades and identify potential compliance issues within the system

Required Qualifications

Bachelor's degree
2-3 years of experience in the financial industry
FINRA Series 7 and 24 Licenses required
Proficiency with Microsoft Word, Excel, Adobe, and SharePoint
Prior experience in supervision is highly beneficial

Keywords: VirtualVocations, Santa Clarita , Compliance Supervision Consultant, Professions , Orange, California

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