TalentBridge
Compliance Officer – Securities Supervision
This job is now closed
Job Description
- Req#: 25-07264
Employer Industry: Financial Services Compliance
Why consider this job opportunity:
- Salary up to $45/hour
- Fully remote work opportunity
- Long-term contract stability with full-time hours
- Exposure to diverse investment products and cutting-edge supervision platforms
- Collaborative national compliance team environment
- Opportunity to influence the integrity of financial markets and protect investors
What to Expect (Job Responsibilities):
- Review securities transactions for suitability using electronic trade blotters
- Investigate alerts in brokerage and advisory accounts through supervision systems
- Approve account documents and outgoing correspondence per FINRA/SEC rules
- Analyze trade patterns to identify potential sales practice violations
- Collaborate with senior supervisory staff on escalations and resolutions
What is Required (Qualifications):
- Active FINRA Series 24 license required
- Active FINRA Series 63 license required
- Minimum of 5 years in compliance, supervision, or broker-dealer operations
- Strong understanding of mutual funds, annuities, MSRB, and general securities
- Working knowledge of SEC, FINRA, MSRB, and state regulatory frameworks
How to Stand Out (Preferred Qualifications):
- Experience supervising municipal bonds and 529 Plans
- Confident regulatory decision-maker under pressure
- Familiarity with OSJ/HOS supervision and multi-tiered compliance
#FinancialServices #Compliance #RemoteWork #CareerOpportunity #InvestorProtectionAbout the company
Talentbridge is a leading talent management company in the United States. Contact us for your staffing and recruiting needs.
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