Nation’s Largest Financial Institutions
Job Location near Gladeview, FL
Responsible for reviewing all compliance systems and reporting as required for the assigned branches within the Market.
Reports the findings to and work with the Market/Complex Admin Manager on a daily basis to ensure that branch compliance procedures fulfill all compliance requirements.
Performs ongoing regulatory, compliance, operational reviews and bring any deficiencies or concerns to the Market/Complex Admin Manager s attention immediately.
Knowledge and understanding of brokerage: systems or applications :( account processes and compliance procedures)
Process complex transactions and perform extensive research to resolve complex customer issues
Ability to make timely and independent judgment decisions
- 3 + years of financial services compliance experience.
- Successfully completed FINRA Series 7 and 63 or 7 and 66 exams to qualify for immediate registration (or FINRA recognized equivalents).
- Strong client service skills.
- Strong attention to detail and accuracy skills.
- Effective organizational, multi-tasking, and prioritizing skills.
- Strong verbal, written, and interpersonal communication skills.
- FINRA registration including Series 9/10 (or FINRA recognized equivalents).
- FINRA registration including Series 66 (or FINRA recognized equivalents).
Ajulia Executive Search is a search firm specializing in Manufacturing, Finance, IT, Legal and Pharmaceutical positions. This is a confidential search for one of our preferred clients. It is a direct hire position that includes competitive compensation and full comprehensive benefit package.