Job Summary
A financial services company is in need of a Remote Trade Review Supervision Senior Advisor.
Must be able to:
- Monitor and keep up to date with regulations regarding trading activity
- Identify and advise client branches of irregularities
- Monitor the sales practice activities of branch managers and Financial Advisors
Must meet the following requirements for consideration:
- Prepares and delivers written and oral presentations to business units
- Fundamental investment concepts, practices and procedures used in the securities industry skills
- Principles of banking and finance and securities industry operations knowledge
- Investments and trading, securities industry regulations, and client suitability knowledge
