Compliance Risk Management Specialist

4 days ago


Milwaukee, Wisconsin, United States Tier4 Group Full time

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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