Compliance Officer – Supervision
Edelman Financial Services, one of the nation’s largest and most well known financial planning firms, is seeking a Compliance Officer – Supervision.
This position is responsible for supervisory support duties of the Compliance Department including reviewing and approving new accounts and documentation, correspondence, e-mail and other supervisory functions.
Review and approve new client accounts and documentation; client transactions, employee transactions, employee outside business activities and exception reports; incoming and outgoing client correspondence conduct routine surveillance of e-mail to identify issues for potential escalation; review and perform other duties as assigned.
Bachelor’s degree preferred, or at least 2 years of equivalent industry experience in a compliance related position and dealing specifically with investment oriented matters. FINRA Series 7 and 24 required. Series 53 and 65 or 66 preferred. Minimum of 3 years financial services industry compliance experience specifically in a broker/dealer or registered investment advisor environment required.
Knowledge of FINRA/SEC regulations. Product knowledge. Strong organizational skills and extremely sensitive to detail. Experience with all Microsoft applications particularly Word and Excel. Excellent verbal communication and interpersonal skills, as necessary to work effectively with staff at all levels.
If you are interested in an exciting career with Edelman Financial Services, please send your resume to our Career Center.
For more information: www.edelmanfinancial.com EOE. A comprehensive background check may be conducted on applicants for this position. Edelman Financial Services has an employment at-will policy.