Compliance Supervisor for Financial Services Company (7149BR) San Francisco, California

EXPERIENCE. This position will be for the Greater San Francisco General Office.

- Assist Managing Partner in Agent Supervision.

- Complete Unannounced Annual Reviews.

- Review upcoming 3010 Mail.

- Review outgoing correspondence.

- Conduct Firm Element and Registered Representative Training.

- Maintain Sales Material Review Procedures.

- Train agents on proper file procedures.

- Handle complaints.

- Follow-up and track compliance and supervision operations.

- Handle/maintain registered products sales materials and prospectuses.

- Prepare for General Office Reviews.

- Bachelors Degree.
- Minimum 2 years of industry experience.
- Comprehensive knowledge of registered and non-registered products.
- MUST HAVE SERIES 7 & SERIES 24
- Preferred Series 51 or 53.
- Series 65, 66 or ChFC (or obtain within 6 months).
- Excellent communication skills (written and verbal).
- Strong analytical skills required.
- Must be a self-starter, result oriented, a team player and be able to prioritize responsibilities.
- Willing to travel up to 50% of the time.

To apply, please click here