Location: Albany, NY
Our client is currently seeking a Compliance Supervisor who will supervise about 50 branch offices nationwide. This is a full-time, permanent position based out of the Albany, NY area.
- Reviewing and approving new account applications and trades for their assigned branches.
- Ensuring regulatory requirements are followed and met.
- Assume the role of the relationship manager for their assigned branches.
- Ensure the firm is compliant with all necessary rules, regulations, policies, and procedures.
- 3-5 years of experience in the financial industry and/or brokerage is required.
- Candidates must have their Series 7 and 24 FINRA licenses.
- Must have management experience.
- Strong organizational skills and advanced written and verbal communication skills.
If you are qualified for this position, please apply using our secure online form.