Address
Form of work
SalaryJob Description:
At the core of this role, you’ll be supporting our staff and advisors in reviewing and approving Outside Business Activities (OBA's) and Passive Investments in compliance with FINRA regulations and Firm policy. Don’t worry, we’re ready and able to teach you about compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.
What makes you a great fit for our team? Thrive as a self-directed learner with a strong sense of ownership and accountability. Move quickly with enough due diligence to identify potential conflicts or risks and then make risk-based decisions.
What are the must haves for this role?
- 2-3 years of financial industry experience
- FINRA Series 7 & 24 registrations
- Experience with Microsoft word/excel, adobe, & SharePoint
Job Type: Contract
Salary: $35.00 - $38.00 per hour
Experience:
- Financial concepts: 1 year (Preferred)
Work Location: On the road
