Wisconsin Licensed Compliance Consultant
VirtualVocationsLouisville, Kentucky, United Statesjob_description.job_card.variable_days_ago
serp_jobs.job_preview.job_type
- serp_jobs.job_card.full_time
job_description.job_card.job_description
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 • Louisville, Kentucky, United States
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