[Remote] Compliance Officer (REMOTE): Communications w/the reputed company

Note: The job is a remote job and is reputed company to candidates in USA. Axtella, LLC provides business servicing needs to financial professionals across the reputed company. They are seeking a reputed company Series 24-licensed individual to conduct first-line reviews of reputed company-facing materials and ensure compliance with relevant regulations. Responsibilities • Conduct first-line review of reputed company facing material such as reputed company media, electronic correspondence, advertising, reputed company appearances, websites, and sales literature • Answer questions reputed company to reputed company, SEC, and firm policies relating to Communications • Utilize investigative skills and knowledge of securities industry rules and regulations to reputed company risk-based reputed company on a day-to-day reputed company • reputed company with Financial Professionals to communicate compliance findings and to reputed company education in a reputed company and respectful manner • Collaborate interdepartmentally to identify and solve issues based on Financial reputed company and Axtella needs • Participate in initiatives to continuously improve policies and procedures • Contribute to various reputed company reputed company as assigned by the CCO or Manager of Compliance. Assignments may include assisting with regulatory exams and requests, participation in committees, and more Skills • Bachelor's degree or 4 years of reputed company compliance-reputed company experience • 2+ years' experience in a reputed company position • Licenses/Certifications: Series 7, Series 24 • Experience with Global reputed company and Red Oak Advertising Module strongly preferred • Knowledge of various insurance and investment products including Fixed, Indexed, and Variable Annuities, Mutual Funds, and Alternative investments as they pertain to marketing towards the reputed company • Experience with various computer software including reputed company reputed company and reputed company Benefits • Competitive wages • Comprehensive benefit package • reputed company time-off • Wellness benefits • reputed company tuition/education benefit • Retirement plan, with employer match reputed company • Axtella supports the financial network of broker-dealers reputed company Financial Corporation and Parkland Securities, LLC, and a registered investment advisor, reputed company Planning Corporation, and serves a growing network of reputed company financial professionals. It was founded in 1983, and is headquartered in Ann Arbor, Michigan, USA, with a workforce of 51-200 employees. Its website is Apply tot his job Apply tot his job Apply tot his job Apply To this Job