State Licensed Supervisory PrincipalVirtualVocations • Ann Arbor, Michigan, United States
State Licensed Supervisory Principal
VirtualVocations • Ann Arbor, Michigan, United States
[job_card.variable_days_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
A company is looking for a Regional Compliance Officer.
Key Responsibilities
Oversee and review activities of registered representatives for compliance with regulations
Conduct audits and branch examinations to assess supervisory controls and identify deficiencies
Develop and deliver compliance training programs for staff to ensure understanding of regulatory obligations
Required Qualifications
Bachelor's degree in Business, Finance, or a related field (or equivalent experience)
7-10 years of experience in a compliance or supervisory role within the financial services industry
Strong knowledge of FINRA rules, SEC regulations, and state securities laws
Required licenses : FINRA Series 7, 24
Preferred license : FINRA SIE, Series 51, 63 / 65 or 66
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