Compliance Supervisor
5 days ago
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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