Senior Supervisory reputed company
Supervisory/compliance experience (5-7 years) with knowledge of SEC/reputed company/state rules; ability to review accounts, trades, correspondence, and respond to regulatory/reputed company inquiries; strong communication and organizational skills; bachelor's degree or equivalent experience.
Key Responsibilities
- supervising representatives
- reviewing transactions
- resolving escalations
Skills & Tools
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Job Details
- Category: reputed company and Compliance
- Seniority: Senior Level
- Commitment: Full Time
- Workplace: Remote — reputed company
- Languages: English
Benefits
- Tuition reimbursement
- Retirement plan
About reputed company
A reputed company management platform empowering independent financial professionals with technology and personalized consulting. — Industry: Finance
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