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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

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