TalentBridge
Compliance Officer - Supervisory
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Job Description
- Req#: 25-08771
Employer Industry: Financial Services
Why consider this job opportunity:
- Opportunity for career advancement and growth within the organization
- Collaborate with various departments and advisors, enhancing professional network
- Contribute to ensuring compliance with regulatory standards, impacting the organization's success
- Work in a fast-paced environment dedicated to delivering a world-class client experience
- Chance to provide supervisory expertise and consultation on significant projects and initiatives
What to Expect (Job Responsibilities):
- Conduct due diligence reviews on prospective representatives to assess their suitability for joining the organization
- Review and evaluate requests for outside business activities and private securities transactions submitted by advisors
- Assess office sharing arrangements to ensure compliance with regulatory requirements
- Review and approve "day one" marketing materials for new offices joining the organization
- Collaborate with advisors, business consultants, and internal departments to communicate compliance determinations effectively
What is Required (Qualifications):
- Minimum of 3-5 years of industry experience
- Must hold FINRA Series 7, Series 24, and Series 63 (or 66) certifications
- Strong attention to detail and excellent problem-solving skills
- Ability to make regulatory and risk-based decisions
- Proficiency in Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio
How to Stand Out (Preferred Qualifications):
- Background in business, accounting, finance, or related disciplines
- Familiarity with Salesforce and Oracle considered a plus
#FinancialServices #Compliance #CareerOpportunity #ClientSuccess #RegulatoryStandards
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We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.About 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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