Job Summary

A diversified financial services firm has an open position for a Remote Trade Review Supervision Advisor.

Core Responsibilities of this position include:

• Conducting independent Supervision reviews
• Identifying and advising client branches of irregularities
• Pro-actively monitoring and ensuring that client trading activity meets the account objectives

Qualifications Include:

• Fundamental investment concepts, practices and procedures used in the securities industry
• Principles of banking, finance, and securities industry operations
• Investments and trading, securities industry regulations, and client suitability
• Critical thinking and decision-making
• Detail orientation to ensure the regulatory liability is limited, without impairing workflow
• Utilizing business-appropriate phone manners