Found Description
Position Responsibilities
- Responsible for Tier 1 supervision, approval of daily, monthly, and quarterly trade reports.
- Review and approve new accounts and KYC updates.
- Communicate with advisor teams regarding compliance inquiries.
- Enhance compliance knowledge on regulatory compliance and supervision requirements and processes.
- Assist with investigations related to complaints and regulatory inquiries.
- Assist the firm in resolving compliance issues with respect to regulatory guidelines and the interpretation of regulations.
- Perform annual branch reviews to foster meaningful and collaborative relationships between advisors and compliance.
Tier 1 Supervision & Complex Reviews
- Perform daily, monthly, and quarterly trade, suitability, and exception reviews; approve new accounts and KYC updates.
- Handle complex supervisory items (e.g., high-risk products, vulnerable clien...