Job Summary
A nationwide banking and financing company is searching for a person to fill their position for a Remote Central Principal Complex Financial Product Leader.
Core Responsibilities of this position include:
- Assuring adherence to FINRA, MSRB, OCC, and internal compliance polices
- Acting as the primary compliance consultant/resource
- Ensuring trade activity within assigned locations
Must meet the following requirements for consideration:
- Bachelor degree or equivalent work experience
- 5 years or more supervisory principal experience
- Possess FINRA Series 7, 65/66, 24, and state insurance licenses or the ability to secure
