FINRA Licensed Compliance Consultant
Company: VirtualVocations
Location: El Cajon
Posted on: January 24, 2025
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Job Description:
A company is looking for a Compliance Supervision
Consultant.
Key Responsibilities
Review investment transactions to ensure compliance with
regulations and company policies
Conduct thorough reviews of new accounts and related paperwork
Support advisors and clients in navigating compliance-related
issues
Required Qualifications
Bachelor's degree
2-3 years of experience in the financial industry
FINRA Series 7 and 24 Licenses OR FINRA Series 7, 9 and 10 Licenses
required
Proficiency with Microsoft Word, Excel, Adobe, and SharePoint
Keywords: VirtualVocations, El Centro , FINRA Licensed Compliance Consultant, Professions , El Cajon, California
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