Agency Supervisory Officer - Compliance
Quick Apply 1 hour ago Full Job Description This position will provide investment and compliance support to the Firm and report directly to the General Agent.
Compensation:
$33 - $43 hourly
Responsibilities:
Provide support and guidance to Financial Representatives and their staff as it relates to business processes and other general inquiries Communicate and respond to Financial Representatives regarding compliance and supervision issues, industry rules, and firm policies and procedures Work closely with other team members, departments, home office staff and field personnel to promote the overall objectives of the Firm Complete annual office inspections, personal interviews and client file reviews Maintain various logs and recordkeeping and track firm training requirements
Qualifications:
Bachelor's degree, preferably in Finance or Business FINRA Series 7, Series 66, Series 24 and Series 53 licenses required Strong working knowledge of the brokerageinvestment advisory business, the regulatory environment and the services related to the industry Strong Technology and communication skills The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department, the region, and the Firm as a whole Competencies to include:
Strong organizational and problem-solving skills Work independently and detail-oriented Time management and the ability to prioritize workflow About Company Through comprehensive financial planning, We help our clients tackle the issues that matter, supporting them through some of the most important decisions of their lives.
We set ourselves apart by focusing on the individual, building a foundation that can allow our clients to take control of their financial lives.
That same foundation is found in our company culture.
Our financial professionals always work to create an inclusive environment that represents our core values:
growth, family, teamwork, and happiness.
We are a young and agile firm that is always looking for new ways to amaze our clients and grow our talent network.
We're lifelong learners that take pride in our commitment to training and education, and we work tirelessly to help our financial professionals explore their potential.
Health/vision/dental Outstanding company culture Top-tier training/education Raleigh office located near the PNC arena Quick Apply.
Estimated Salary: $20 to $28 per hour based on qualifications.
Compensation:
$33 - $43 hourly
Responsibilities:
Provide support and guidance to Financial Representatives and their staff as it relates to business processes and other general inquiries Communicate and respond to Financial Representatives regarding compliance and supervision issues, industry rules, and firm policies and procedures Work closely with other team members, departments, home office staff and field personnel to promote the overall objectives of the Firm Complete annual office inspections, personal interviews and client file reviews Maintain various logs and recordkeeping and track firm training requirements
Qualifications:
Bachelor's degree, preferably in Finance or Business FINRA Series 7, Series 66, Series 24 and Series 53 licenses required Strong working knowledge of the brokerageinvestment advisory business, the regulatory environment and the services related to the industry Strong Technology and communication skills The desire to be an enthusiastic and cooperative team player willing to contribute as necessary to promote the success of the department, the region, and the Firm as a whole Competencies to include:
Strong organizational and problem-solving skills Work independently and detail-oriented Time management and the ability to prioritize workflow About Company Through comprehensive financial planning, We help our clients tackle the issues that matter, supporting them through some of the most important decisions of their lives.
We set ourselves apart by focusing on the individual, building a foundation that can allow our clients to take control of their financial lives.
That same foundation is found in our company culture.
Our financial professionals always work to create an inclusive environment that represents our core values:
growth, family, teamwork, and happiness.
We are a young and agile firm that is always looking for new ways to amaze our clients and grow our talent network.
We're lifelong learners that take pride in our commitment to training and education, and we work tirelessly to help our financial professionals explore their potential.
Health/vision/dental Outstanding company culture Top-tier training/education Raleigh office located near the PNC arena Quick Apply.
Estimated Salary: $20 to $28 per hour based on qualifications.
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