Job Description
Role Overview
We are seeking a candidate looking to advance their career in compliance. The ideal individual demonstrates strong analytical capabilities, a high level of accountability and professionalism, and excellent organizational skills. They possess clear and effective written and verbal communication abilities, a keen attention to detail, and a consistent track record of thorough follow‑through. A strong ethical foundation and sound judgement are essential for success in this role.
Key Responsibilities
- Supervisor of retail and managed accounts.
- Conduct daily trade reviews.
- Conduct monthly reviews within 21 days of the period.
- Responsible for sending account inquiries to advisors and diligently tracking their progress to ensure issues are resolved satisfactorily in a timely manner.
- Perform quarterly reviews of managed and fee‑based accounts.
- Review and pro...
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