Job Summary
A bank has an open position for a Remote Principal Banking Central Supervisor.
Core Responsibilities Include:
- Assuring adherence to FINRA, MSRB, OCC, and internal compliance polices
- Acting as the primary compliance consultant/resource for assigned location
- Ensuring trade activity within assigned locations, business unit(s), are suitable
Applicants must meet the following qualifications:
- Good decision-making ability and attention to detail
- Conflict resolution skills
- Strong ability to partner with others
- Strong interpersonal, verbal, and written communication skills
- Ability to manage multiple projects and meet deadlines
- Thorough knowledge of securities products
