We have a current opportunity for a Branch Supervision Specialist on a permanent basis at a financial services firm. The position will be based in Highland Park.
- Monitor and review of daily trading activity reports, identify and report trade errors.
- Review trade exception reports, identify and maintain evidence of remediation of regulatory exception
- Electronic correspondence review. identify conflicts of interest, prohibited behavior in communications
- Internal and regulatory audit preparation
- Series 7, 66, 9/10 or 24 licensed, or a commitment to obtain within first six months of employment
- Minimum 3-5 years relevant work experience.
- Bachelor's degree or commensurate experience.
- Strong working knowledge of both Securities and Exchange Commission (SEC), and Financial Industry Regulatory Authority (FINRA) rules and regulations