Wisconsin Licensed Compliance Consultant

A company is looking for a Compliance / Supervision Consultant.

Key Responsibilities

Support financial advisors and clients by reviewing investment transactions for compliance with regulations and company policies

Provide consultative support on policies and procedures during advisor calls

Engage in continuous learning of compliance regulations and company policies

Required Qualifications, Training, and Education

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