Market Compliance Specialist          

RESPONSIBILITIES: The Market Compliance Specialist is responsible for advising and tracking escalations from CSU dept from a review of all compliance systems (SuperVision, AnnuityNet, Assentor, etc.) for FA's in the branches within the Market on a daily basis. The Market Compliance Specialist works with the Market Administration Manager and Branch Managers to ensure that branch compliance procedures fulfill all compliance requirements. The Market Compliance Specialist performs routine regulatory and compliance reviews as well as other duties as assigned, as delegated by the Market Administration Manager (e.g., reviewing active accounts, marketing material, seminar reporting, complaints, FA terminations and hires, etc.) for branches (within the Market), bringing any deficiencies or concerns to the Market Administration Manager's attention immediately. Conducts regularly scheduled reviews (e.g., employee and employee-related accounts, outside employee accounts and activities, gifts and entertainment, personal equipment usage, etc.) and reports results to the Market Administration Manager. May also be responsible for other compliance responsibilities such as reviewing correspondence, internet initiatives, annual continuing education progress, communicating new compliance and HR policies, etc., as delegated by the Market Administration Manager. Ensures compliance requirements are adhered to within the branches. Assists Market Administration Manager with training and staff meetings, mini audits, compliance visits, regular audits and action plans. Identifies areas for improvement in compliance/operational efficiency and effectiveness. Works to resolve any deficiencies or concerns in a timely manner. Acts as a liaison for the branches on compliance matters and escalates all compliance issues/concerns to the Market Administration Manager and Market Manager as necessary.

REQUIREMENTS: Series 7 &, 9, 10, 63 and 65 licenses required (If do not have Series 65, you must obtain within 90 days), 3 plus years industry experience and 1 year compliance management experience preferred. Mon - Fri, 8:00am - 5:00pm 

Please go to www.wachovia.com/careers and search for requisition 288284.