Compliance Risk Management Specialist
4 days ago
Job Opportunity: Compliance Supervision Consultant (Remote)
Contract: 6-month initial contract
Location: Remote (supporting CST)
Must-Haves:
Bachelor's degree
2-3 years in the financial services industry, within transaction monitoring
Active FINRA Series 7 AND 24, OR Series 9 AND 10 (required)
Proficiency with Microsoft Word, Excel, Adobe, and SharePoint
Preferred: Advertising compliance experience
Role Overview:
This position involves working in our client's proprietary compliance system, monitoring flagged issues around account setup, email correspondence, and eCommerce. The consultant will address roughly 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
Develop and maintain knowledge of regulatory requirements and industry best practices
Provide support and guidance to team members as needed
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