Compliance Supervisor - Transaction Monitoring (...
Tier4 Group - milwaukee, WI
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🚨 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 experienceRole 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.If you're passionate about compliance and ready for a challenging and rewarding role, apply today!
Created: 2024-10-13