Remote Compliance Retail Advice and Solution Manager

Job is Expired
Location: California, Colorado, Connecticut, Florida, Georgia, Illinois, Maryland, Massachusetts, Minnesota, New Jersey, New York, Ohio, Pennsylvania, Texas, Virginia
Compensation: Salary
Staff Reviewed: Wed, Apr 20, 2022
Job Summary

A financial provider is in need of a Remote Compliance Retail Advice and Solution Manager.

Individual must be able to fulfill the following responsibilities:

  • Develop test scripts to guide testing activities
  • Execute testing and monitoring activitie
  • Identify opportunities to expand and more efficiently conduct testing

Qualifications for this position include:

  • Series 7 and 24 or ability to obtain within 6 months of hire
  • Minimum 5 years retail investment advisor/broker dealer experience
  • Experience with researching issues and monitoring controls for compliance
  • Bachelor's degree or equivalent experience required
  • Proven track record of effectively working with data
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