Title: Compliance Specialist (998-1)
Location: South Florida
Compensation: Commensurate with experience
Summary:
Independent Broker/Dealer, Member FINRA/SIPC, with an affiliated SEC Registered Investment Advisor, is seeking Compliance Specialists. The Compliance Specialist will report to the company’s Director of Compliance and must have a minimum of two years supervisory and/or sales experience within the brokerage industry
Responsibilities:
Review of direct business
Clear firm transactions, new and existing accounts, email, social media and advertising
Maintenance of the firm’s written supervisory procedures and firm element continuing education program
Requirements:
Minimum 2+ year’s brokerage industry experience
Bachelor's degree strongly preferred
Series 7 license required
Series 24 license is preferred or must be successfully attained within 90 days of hire
Insurance license is a plus
Possess a representative-centric focus, with impeccable communication skills
Strong working knowledge of industry products and industry rules governing suitability, transactions and communications with the public
Possess strong supervisory and oversight skills
Must be enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department as a whole
Ability to effectively work and thrive in a fast-paced environment
Desire to learn and grow professionally
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Julia Brown
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x106
julia@brokerageconsultants.com
www.brokerageconsultants.com
Location: South Florida
Compensation: Commensurate with experience
Summary:
Independent Broker/Dealer, Member FINRA/SIPC, with an affiliated SEC Registered Investment Advisor, is seeking Compliance Specialists. The Compliance Specialist will report to the company’s Director of Compliance and must have a minimum of two years supervisory and/or sales experience within the brokerage industry
Responsibilities:
Review of direct business
Clear firm transactions, new and existing accounts, email, social media and advertising
Maintenance of the firm’s written supervisory procedures and firm element continuing education program
Requirements:
Minimum 2+ year’s brokerage industry experience
Bachelor's degree strongly preferred
Series 7 license required
Series 24 license is preferred or must be successfully attained within 90 days of hire
Insurance license is a plus
Possess a representative-centric focus, with impeccable communication skills
Strong working knowledge of industry products and industry rules governing suitability, transactions and communications with the public
Possess strong supervisory and oversight skills
Must be enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department as a whole
Ability to effectively work and thrive in a fast-paced environment
Desire to learn and grow professionally
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Julia Brown
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x106
julia@brokerageconsultants.com
www.brokerageconsultants.com
No comments:
Post a Comment