Job description

Description:

Job Description:

At the core of this role you’ll be supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies. 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 work with and around limited information
Learn, take risks, and be open to feedback as part of personal learning and development

What are the must haves for this role?

Bachelor's degree
2-3 years of financial industry experience
Series 7/24 registrations
Experience with Microsoft word/excel, adobe, & SharePoint
Supervision experience preferred

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Other

Please provide a description of how this role fits into the organization and your team

At the core of this role you’ll be supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies.

What are the must haves for this role?

Bachelor's degree
2-3 years of financial industry experience
Series 7/24 registrations
Experience with Microsoft word/excel, adobe, & SharePoint

What are the nice to haves for this role?

Supervision experience preferred

Job Type: Contract

Pay: $25.00 - $39.00 per hour

Schedule:

• 8 hour shift

Experience:

• Financial concepts: 1 year (Preferred)

Work Location: Remote

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