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Compliance-Examiner

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Compliance Examiner

Details

Country: USA
Location: NJ Bridgewater
Total applied: 8

Career Level: Experienced (Non-Manager)
Education Level: Associate Degree
Job Type: Employee
Job Status: Full Time

Compliance Examiner

SHORTEN YOUR COMMUTE TIME!

Compliance Examiner wanted for a Broker/Dealer located in central NJ.

Location:

This position is located in our main headquarters which is in central New Jersey, about 1 hour from NYC.

Job Description:

Conduct on-site securities compliance audits at independent branches located throughout the U.S. Compliance analysis of trading records, advertising/sales literature review, employee trading surveillance, RIA and broker-dealer issues. 30% - 40% travel is expected.

Qualifications:

BA or BS or equivalent work experience. Broker/Dealer compliance and general securities background needed. Ability to work independently. Strong communication skills both verbal and written. Superior time management, problem solving, critical thinking, and decision-making skills are needed. Series 7 and 24 preferred.

Please email your resume, ALONG WITH SALARY REQUIREMENTS, to

januario@investmentctr.com

We offer full benefits including 401k, medical and dental coverage.

- Apply for Compliance Examiner

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