Compliance Specialist with Series 7/24

Job Summary

Supporting advisors and clients, the remote Compliance Specialist with Series 7/24 will review investment transactions and account activity to ensure compliance with regulatory requirements and company policies in a 6-month contract role.

Key responsibilities

• Review investment transactions and account activity for compliance with regulatory and internal requirements
• Support advisors and clients through a phone queue, answering questions and providing guidance
• Monitor and evaluate trade activity to identify potential compliance concerns

Required qualifications

• Bachelor's degree required
• 2-3 years of financial services industry experience
• Active Series 7/24 or Series 9/10 registrations
• Proficiency with Microsoft Word, Excel, Adobe, and SharePoint
• Advertising compliance experience preferred