FINRA Licensed Compliance Consultant

Job Summary

Supporting team members and advisors, the full-time remote Compliance Supervision Consultant will review and approve Outside Business Activities (OBAs) and Passive Investments in accordance with FINRA regulations and company policies.

Key Responsibilities

• Review and assess Outside Business Activities (OBAs) and Passive Investments for compliance with regulatory and company standards
• Identify and evaluate potential risks or conflicts, supporting informed decision-making
• Communicate with stakeholders regarding regulatory requirements and policy considerations

Required Qualifications

• Series 7 and Series 24 licenses required
• 2-3+ years of experience in the financial services industry
• Familiarity with regulatory compliance concepts and risk assessment
• Experience with Microsoft Word, Excel, Adobe, and SharePoint