Monster
 

Confidential Posting

 
 
 

Job Summary

Location
Hackensack, NJ 07601
Industries
Banking
Financial Services
Job Type
Full Time
Employee
Years of Experience
1+ to 2 Years
Education Level
Professional
Career Level
Experienced (Non-Manager)
Salary
50,000.00 - 65,000.00 USD /year
Benefits & Bonus opportunities

Compliance Officer

About the Job

29 year old broker dealer in central New Jersey seeking BranchSupervisor.  Successful candidate will have a minimum of 1 to 3 years working in the internal audit/supervision department of a FINRA broker/dealer.  Reporting to the Director of Supervision, your responsibilities will include performing reviews of branch offices (including, daily trading activity, suitability, account documentation, communications with the public) to insure compliance with the firm’s policies and procedures.  Must have familiarity with FINRA rules and regulations. Excellent benefits package.  All candidates applying must have Series 7, 63 & 24 licenses. 

 
 

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