Control Specialist

Confidential Company  •  North Miami Beach, FL

Less than 5 years experience  •  Financial Services

Posted on 10/06/17 by Sinthia Stewart
Confidential Company
North Miami Beach, FL
Less than 5 years experience
Financial Services
Posted on 10/06/17 Sinthia Stewart

Control Specialist


Nation’s Largest Financial Institutions


Job Location near Gladeview, FL


Competitive Salary/Benefits


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


RequiredMUST HAVEQualifications

  • 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.


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