Compliance Supervisor

5 days ago


Milwaukee, Wisconsin, United States Tier4 Group Full time

Job Opportunity: Compliance Supervision Consultant

Contract: 6-month initial contract

Location: Remote (supporting CST)

Requirements:


• Bachelor's degree in a relevant field


• 2-3 years of experience in the financial services industry, specifically in transaction monitoring


• Active FINRA Series 7 AND 24, OR Series 9 AND 10 (required)


• Proficiency in Microsoft Office, Adobe, and SharePoint


Preferred: Advertising compliance experience

Job Overview:

This role involves working in our client's proprietary compliance system, monitoring flagged issues related to account setup, email correspondence, and eCommerce. The consultant will address approximately 10-15 flags at a time, ensuring any issues are resolved with field advisors. Tasks range from resolving improper paperwork submissions to handling electronic communication violations.

Key Responsibilities:

  • Monitor and address flagged issues in the compliance system
  • Collaborate with field advisors to resolve issues
  • Ensure compliance with regulatory requirements
  • Provide support and guidance to team members

Why Join Us:

Tier4 Group is a leading provider of compliance solutions, and we're seeking a skilled Compliance Supervisor to join our team. If you're passionate about compliance and ready for a challenging and rewarding role, we encourage you to apply.


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