Compliance Supervision Consultant
Compliance Supervision Consultant
$35.00hr This role REQUIRES a current series 7&24 license.
Looking for your next career move in the Financial Services arena? We are hiring for a REMOTE Compliance Consultant, with a leading company in the financial services industry located in Milwaukee, WI. If you are interested in this role and meet the requirements, Apply today!
Description:
At the core of this role, you’ll be supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies.Support phone queue (30 hours/week) and processing (10 hours/week). Approve accounts, provide principal support, and educate the field on best practices. In addition, you will be fielding calls from our financial representatives in order to consult to them on our compliance procedures and help them with their business.
Don’t worry, we’re ready and able to teach you about compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.
What makes you a great fit for our team?
Thrive as a self-directed learner with a strong sense of ownership and accountability
Move quickly with enough due diligence to work with and around limited information
Learn, take risks, and be open to feedback as part of personal learning and development
Experience with new accounts, advisory, brokerage, and annuities
Requirements:
Bachelor's degree- 3 years of financial industry experience
Series 7 and 24 ( or 9 & 10 or 6 & 26) license registrations
Experience with Microsoft Word/Excel, adobe, & SharePoint
Advertising compliance experience preferred
Does this all sound good to you? If you ask us, we’d make a great team. Our friendly experts are ready to get you in at a great job, so the ball is in your court. If you’re ready for an exciting, challenging REMOTE position with a premier employer in the downtown Milwaukee area, apply online with Adecco today!Benefit offerings include medical, dental, vision, life insurance, short-term disability, additional voluntary benefits, EAP program, commuter benefits and a 401k plan. Our program provides employees the flexibility to choose the type of coverage that meets their individual needs.
Available paid leave may include Paid Sick Leave, where required by law; any other paid leave required by Federal, State, or local law; and Holiday pay upon meeting eligibility criteria.
Pay Details: $35.00 per hour
Benefit offerings available for our associates include medical, dental, vision, life insurance, short-term disability, additional voluntary benefits, EAP program, commuter benefits and a 401K plan. Our benefit offerings provide employees the flexibility to choose the type of coverage that meets their individual needs.In addition, our associates may be eligible for paid leave including Paid Sick Leave or any other paid leave required by Federal, State, or local law, as well as Holiday pay where applicable.
Equal Opportunity Employer/Veterans/Disabled
Military connected talent encouraged to apply
To read our Candidate Privacy Information Statement, which explains how we will use your information, please navigate to https://www.adecco.com/en-us/candidate-privacy
The Company will consider qualified applicants with arrest and conviction records in accordance with federal, state, and local laws and/or security clearance requirements, including, as applicable:
- The California Fair Chance Act
- Los Angeles City Fair Chance Ordinance
- Los Angeles County Fair Chance Ordinance for Employers
- San Francisco Fair Chance Ordinance
Massachusetts Candidates Only: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this law shall be subject to criminal penalties and civil liability.