Wisconsin Licensed Compliance Consultant

Job Summary

Supporting financial advisors and clients remotely, the Compliance/Supervision Consultant will review investment transactions to ensure compliance with regulations and company policies while providing consultative support on policies and procedures.

Key responsibilities

• Review and monitor investment transactions to ensure adherence to compliance regulations
• Provide consultative support to financial advisors regarding policies and procedures
• Assist in training and educating team members on compliance regulations and company policies

Required qualifications

• Bachelor's degree
• 2-3 years of financial industry experience
• Series 7/24 or 9/10 registrations (9/10 preferred)
• Experience with Microsoft Word, Excel, Adobe, and SharePoint
• Advertising compliance experience preferred