Compliance Consultant Job in Irving 75038, Texas Us
The Compliance Consultant position in the Advertising Compliance department is responsible for providing broker/dealer compliance review of firm marketing and advertising activities. The qualified candidate is expected to be knowledgeable in industry policy and procedures with knowledge of regulatory communication rules and have a working knowledge of our industries products and services. The position involves extensive interaction with our advisor force as well as home office business partners. This associate will be expected to achieve a strong knowledge of our industries Communication with the Public regulations and interpretations.
Requirements:
- Functions at a capacity normally achieved through obtaining a BS/BA or equivalent and 2 years B/D compliance experience.
- Series 7 and 24 licenses.
- Proven negotiation skills, including the ability to negotiate and reach agreeable solutions.
- Ability to effectively multitask and successfully work on several projects at the same time.