Job Description
Compliance Supervision Consultant $39.25hr
Looking for your next career move in the Financial Services arena? We are hiring for a REMOTE Compliance Supervision Consultant with a leading company in the financial services industry located in Milwaukee, WI. This role requires you to have a Series 7 & 24, or a 9 & 10 license that are both current. If you are interested in this role and meet the requirements, Apply today!
Description: The Outside Activities and Consulting team approves all Outside Business Activities and Passive Investments for our home office and field registered/contracted individuals. Series 7/24 required.
At the core of this role you’ll be supporting our advisors and clients to make sure we are in compliance with regulations and company policies through various duties. Some of these include address & trustee monitoring, order acceptance review and working alerts in the Personal Trading Assistant system (PTA). 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?
• Move quickly with enough due diligence to work with and around limited information
• Strong technical knowledge of the operational aspects related to brokerage and advisory services/products
• Ability to apply knowledge across complex business areas
• Strong business acumen and eager to learn new business concepts and procedures
• Learn, take risks, and be open to feedback as part of personal learning and development
Job Description:
Required: Bachelor's degree
2-3 years of financial industry experience
Series 7/24 registrations or 9/10
Experience with Microsoft word/excel, adobe, & SharePoint
Supervision experience preferred
Advertising compliance experience preferred
M-F 8am – 5pm CST
*Fingerprinting is required for this role**
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!At Adecco, we care about our associates’ wellbeing on the job and off, which is why we offer the following benefits:
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: $39.25 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
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The Company will consider qualified applicants with arrest and conviction records subject to federal contractor requirements and/or security clearance requirements.
Job Tags
Hourly pay, Holiday work, Temporary work, For contractors, Local area, Remote job, Home office,