Job Summary
A non-profit financial services organization has a current position open for a Telecommute Supervision Analyst.
Core Responsibilities of this position include:
- Conducting complex reviews of the firm’s retail advisory business
- Bring the point of contact for Advisor teams on most compliance inquiries
- Providing professional, quality customer service to Advisor teams
Qualifications for this position include:
- College degree or equivalent work experience
- 5-7 years working in financial services industry and/or compliance
- Series 7 and Series 66
- Advanced levels of analysis and independence
- Possesses advanced knowledge of SEC Investment Adviser rules
- Understanding of financial services industry products
