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Wisconsin Licensed Compliance Consultant

Wisconsin Licensed Compliance Consultant

VirtualVocationsAppleton, Wisconsin, United States
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A company is looking for a Compliance / Supervision Consultant.

Key Responsibilities

Review investment transactions to ensure compliance with regulatory and internal policies

Support advisors and clients in monitoring ongoing compliance

Participate in training on specific compliance guidelines and apply existing skills effectively

Required Qualifications

Bachelor's degree

2-3 years of experience in the financial industry

Active Series 7 and 24 registrations

Proficiency in Microsoft Word, Excel, Adobe, and SharePoint

Advertising compliance experience (preferred)

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Compliance Consultant • Appleton, Wisconsin, United States

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