FINRA Licensed Compliance/Supervision Consultant

Industry

Financial Services

Advert ID

BBBH5569297

Location

Meridian

Job Type

Temporary

Hours

Full-Time

Salary Range

Based on Experience

No. of Openings

1

Branch Information

Kenosha, WI - (USA) 7519 60th Avenue Suite 120 WI Kenosha , WI 53142

ContactNumber

262-694-2759

Job Description

Our client in Milwaukee, WI is seeking a FINRA Licensed Compliance/Supervision Consultant to join their team. 

 Active FINRA Series 7 and 24 licenses are REQUIRED

Job Title: Compliance/Supervision Consultant

Location: Remote - Headquartered in Milwaukee, WI

Pay Range: $39-42/hr

 

What’s the Job?

  • Outside Activities and Consulting team approves all Outside Business Activities and Passive Investments for our home office and field registered/contracted individuals
  • Reviewing and approving Outside Business Activities (OBA's) and Passive Investments in compliance with FINRA regulations and Firm policy
  • Communicate with field and internal stakeholders
  • Primarily reviewing/approving activities for ensembles and entity advisor new contracts
  • Ensure compliance standards are upheld

 

What’s Needed?

  • Active FINRA Series 7 and 24 licenses 
  • Attention to detail
  • Ability to effectively identify and assess risks relating to industry regulations and company policies
  • Ability to effectively communicate via phone/zoom or email
  • Ability to drive and engage in difficult conversations relating to regulatory requirements and company policy

 

What’s in it for me?

  • Long-term contract (8 months) with possibility to extend or convert 
  • Remote
  • Mon - Fri, 8am - 5pm CST
  • Equipment provided

 

If this is a role that interests you and you’d like to learn more, click apply now and a recruiter will be in touch with you to discuss this great opportunity. We look forward to speaking with you!

 

About ManpowerGroup, Parent Company of:  Manpower, Experis, Talent Solutions, and Jefferson Wells

ManpowerGroup® (NYSE: MAN), the leading global workforce solutions company, helps organizations transform in a fast-changing world of work by sourcing, assessing, developing, and managing the talent that enables them to win. We develop innovative solutions for hundreds of thousands of organizations every year, providing them with skilled talent while finding meaningful, sustainable employment for millions of people across a wide range of industries and skills. Our expert family of brands – Manpower, Experis, Talent Solutions, and Jefferson Wells – creates substantial value for candidates and clients across more than 75 countries and territories and has done so for over 70 years. We are recognized consistently for our diversity - as a best place to work for Women, Inclusion, Equality and Disability and in 2022 ManpowerGroup was named one of the World's Most Ethical Companies for the 13th year - all confirming our position as the brand of choice for in-demand talent.