Job Description
📋 Description Conduct on-site and virtual WM branch examinations. Serve as ongoing compliance contact for branches. Schedule examinations and manage related travel expenses. Collect and analyze data to identify irregularities and trends. Draft communications and provide guidance on compliance issues. 🎯 Requirements FINRA SIE, Series 7, and Series 65/66; and Series 9/10 or 24 licensing; willingness to obtain within 6 months. Bachelor's degree in business/finance or related field, or relevant securities industry experience. 2+ years compliance experience; 5+ years industry experience preferred. Knowledge of FINRA, SEC, MSRB and related rules; investment concepts. Experience conducting surveillance oversight of firm supervisory processes. Strong written, verbal, interpersonal skills; ability to engage with senior leaders and external auditors. 🎁 Benefits Medical, Dental and Vision Company 401(k) and ESOP contribution Generous sick, vacation, and maternity/parental leave Paid holidays Professional Development Opportunities Tuition Reimbursement ($15,000 lifetime cap)
