FINRA Licensed Compliance Consultant

Company: VirtualVocations
Location: Glendale
Posted on: February 4, 2025

Job Description:

A company is looking for a Compliance Supervision Consultant.

Key Responsibilities

Review investment transactions to ensure compliance with regulations and company policies
Conduct thorough reviews of new accounts and related paperwork
Support advisors and clients in navigating compliance-related issues

Required Qualifications

Bachelor's degree
2-3 years of experience in the financial industry
FINRA Series 7 and 24 Licenses OR FINRA Series 7, 9 and 10 Licenses required
Proficiency with Microsoft Word, Excel, Adobe, and SharePoint

Keywords: VirtualVocations, Prescott , FINRA Licensed Compliance Consultant, Professions , Glendale, Arizona

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