Compliance Supervision Consultant
Company: VirtualVocations
Location: Orange
Posted on: October 28, 2024
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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, Bell Gardens , Compliance Supervision Consultant, Professions , Orange, California
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