Compliance/Supervision Consultant (100% Remote)
Salary undisclosed
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Our Customer is an American financial services mutual organization based in Milwaukee. The financial security company provides consultation on wealth and asset income protection, education planning, retirement planning, investment advisory services, financial planning trust and private client services, estate planning and business planning. Its products include life insurance, permanent life insurance, disability income, and long-term care insurance; annuities; investments; and investment advisory products and services.
Our Customer is looking for a Compliance/Supervision Consultant on a contract basis to help support their ongoing business needs. This role is 100% remote.
At the core of this role you’ll be supporting advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure they are in compliance with regulations and company policies. This role will primarily support in consulting to the field force in the phone queue on the policies, regulations, and new business. Don’t worry, you will be taught about compliance regulations and company policies that shape work. What is needed from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.
Qualifications
Please Note: In order to create a safe, productive work environment, our client is requiring all contractors who plan to be onsite to be fully vaccinated according to the CDC guidelines. Prior to coming into our offices, contractors will be required to attest that they are fully vaccinated.
Perks are available through our 3rd Party Employer of Record (Available upon completion of waiting period for eligible engagements)
Health Benefits: Medical, Dental, Vision, Life (including spouse & child), 401k, STD/LTD, AD&D, and Commuter Benefits program.
An Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.
Our Customer is looking for a Compliance/Supervision Consultant on a contract basis to help support their ongoing business needs. This role is 100% remote.
At the core of this role you’ll be supporting advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure they are in compliance with regulations and company policies. This role will primarily support in consulting to the field force in the phone queue on the policies, regulations, and new business. Don’t worry, you will be taught about compliance regulations and company policies that shape work. What is needed from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.
Qualifications
- Bachelor's degree
- 2-3 years of financial industry experience
- Series 7/24 or 9/10 registrations
- Experience with Microsoft word/Excel, Adobe, and SharePoint
- Advertising compliance experience preferred
- Can thrive as a self-directed learner with a strong sense of ownership and accountability
- Can move quickly with enough due diligence to work with and around limited information
- Ability to learn, take risks, and be open to feedback as part of personal learning and development
Please Note: In order to create a safe, productive work environment, our client is requiring all contractors who plan to be onsite to be fully vaccinated according to the CDC guidelines. Prior to coming into our offices, contractors will be required to attest that they are fully vaccinated.
Perks are available through our 3rd Party Employer of Record (Available upon completion of waiting period for eligible engagements)
Health Benefits: Medical, Dental, Vision, Life (including spouse & child), 401k, STD/LTD, AD&D, and Commuter Benefits program.
An Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, or protected veteran status and will not be discriminated against on the basis of disability.