Supervision Compliance Manager
Company: VirtualVocations
Location: San Bernardino
Posted on: September 21, 2023
|
|
|
Job Description:
A company is looking for a Supervision Compliance Manager.
Key Responsibilities:
Conduct supervision of account activity and the opening and
approving of new accounts for securities and options
Build and iterate on written policies and procedures to comply with
supervision obligations
Provide advice and support to stakeholders on policies, controls,
and regulatory rules
Required Qualifications:
5+ years of experience in a brokerage environment with expertise in
supervision
Completed necessary licensing courses and registration as a
Supervisor
Comprehensive knowledge of regulatory requirements for conducting
supervision of securities and options trading accounts
Ability to link business imperatives and regulatory
requirements
Strong analytical and problem-solving skills with attention to
detail
Keywords: VirtualVocations, San Bernardino , Supervision Compliance Manager, Executive , San Bernardino, California
|
Click
here to apply!
|
