Opportunity Description
Responsibilities
- Responsible for Tier 1 supervision, approval of daily, monthly, quarterly trade reports.
- Review and approve new accounts and KYC updates.
- Communicate with advisor teams regarding compliance inquiries.
- Assist with investigations related to complaints and regulatory inquiries.
- Assist the firm in resolving compliance issues with respect to regulatory guidelines and interpretation of regulations.
- Perform daily, monthly, and quarterly reviews of trades, suitability, and exception queues under defined thresholds.
- Review and process new accounts and KYC updates; ensure documentation completeness and accuracy.
- Maintain clear records of supervisory decisions and evidence; meet service‑level timelines.
- Identify and escalate any areas of non‑compliance.
- Respond to routine advisor inquiries related to supervisory processes and requirements.
- Provide guidance usi...
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