Compliance Operations Coordinator

 

Compliance Operations Coordinator

 

We are seeking an experienced individual to coordinate activities of an OSJ office.

 

Responsibilities including by not limited to:  Ensuring registered representatives activities adhere to company policies and regulatory requirements; ensuring compliance processes are monitored; conducting suitability reviews; & coordinating operational issues and legal/regulatory requirements, including new account processing.

 

The ideal candidate will have 3-5 years of compliance/operational experience in an equities environment, broker-dealer experience, excellent communication skills, strong computer skills and PowerPoint, and enjoy working in a fast past environment. The successful candidate will also have Series 6 or 7 and 26 or 24.

 

Carroll Enterprises, Inc. is a national organization, which markets and administers health care, insurance products, financial services, and management assistance and legislative advocacy to America?s small businesses.

 

We offer a friendly environment and competitive salary, as well as the following benefits: Paid Time Off Accrual, Health & Dental Insurance, Life Insurance, Short & Long Term Disability, Garage Parking, Matching 401(k), Personal Insurances, Pre-tax Medical & Dependent Care Reimbursement.

 

If your skills and experience match our requirements, please send resume to:

Carroll Enterprises, Inc., Dept. 06-127,

554 Main Street,

PO Box 15014,

Worcester, MA 01615-0014,

fax: (508) 770-0201, or

email: hrjobs@sbsb.com ,

EOE.