Compliance Associate / Sales Supervisor

The candidate should have excellent problem solving skills and have the ability to demonstrate flexibility and adaptability to a constantly changing environment.  Candidate will assist with policies, procedures and guidelines of regulatory standards applicable to the company, including implementation and maintenance of supervisory and control procedures.

 

RESPONSIBILITIES/DUTIES: 

 

REGISTRATION

 

 

 

 

 

 

SURVEILLANCE

 

 

 

 

 

 

 

 

 

 

 

 

MINIMUM QUALIFICATIONS:  

 

Knowledge:

 

Series 65/66 – Registered Investment Advisor

Series 24 – General Securities Principal

Series 4 – Options Principal           

 

Computer/Internet skills

 

 

 

 

Skills/Abilities:

 

October 14, 2013 • Tags: , • Posted in: Financial

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