Supervisory Support Officer Job in Columbus, Ohio US
Supervisory Support OfficerThe Supervisory Support Officer supports sales managers by executing designated supervisory duties, thereby facilitating standardized oversight and enhanced focus on the investment sales process, while assuring compliance with securities industry regulations and firm policies Primary responsibilities include * Reviewing inbound outbound quarantined e-mails, and 3% of clean e-mails, to ensure electronic communications are appropriate in terms of content and regulatory standards * Conducting Monthly Account Reviews for assigned OSJs and managers, and taking appropriate Read more […]
March 15, 2009
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