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
