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Wisconsin Licensed Compliance ConsultantVirtualVocations • Shreveport, Louisiana, United States
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Wisconsin Licensed Compliance Consultant

Wisconsin Licensed Compliance Consultant

VirtualVocations • Shreveport, Louisiana, United States
6 days ago
Job type
  • Full-time
Job description
Supporting financial advisors and clients remotely, the Compliance/Supervision Consultant will review investment transactions to ensure compliance with regulations and company policies while providing consultative support on policies and procedures. Key responsibilities Review and monitor investment transactions to ensure adherence to compliance regulations Provide consultative support to financial advisors regarding policies and procedures Assist in training and educating team members on compliance regulations and company policies Required qualifications Bachelor's degree 2-3 years of financial industry experience Series 7/24 or 9/10 registrations (9/10 preferred) Experience with Microsoft Word, Excel, Adobe, and SharePoint Advertising compliance experience preferred
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Wisconsin Licensed Compliance Consultant • Shreveport, Louisiana, United States

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