- New Business for Suitability and Best Interest
- Indexed and Variable Annuities (Also subsequent reviews)
- Funds & Structured Products
- Investments: REIT's, Reg D, Internal/Closed End MF's (Also subsequent reviews)
- EFT's Bonds, UIT's (Backup Suitability Review for Brokerage and Advisory that are Non-Discretion and No Models)
- Review compliance Surveillance spreadsheets and process generated from exception reports and provide red flags for review.
- Licenses Needed: 7, 24 required. A 63 is not required but would be a plus.
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Ultrasound Student Extern Per Diem Rotate
3 days ago
Tenet Healthcare Corporation Palm Beach Gardens, United StatesPosition Summary: · A Radiology Extern is responsible and accountable for cleaning and setting up equipment and assisting technologists and other healthcare workers in order to provide quality patient care and services. Organize work assignments, conduct-imaging room set up, pati ...
Compliance Principal - Palm Beach Gardens, United States - LHH Recruitment Solutions
Description
Job Description
Job DescriptionCompliance Principal
LHH recruitment is hiring for a compliance principal in the Palm Beach Gardens, FL area. Our client is looking for a compliance principal with their series 7 and 24 licenses. This is a great company to work in an in-office setting.
Responsibilities to include:
Qualifications
This position is a direct hire opportunity that will pay $70k-$90k depending on resume and experience. Please apply today
Pay Details: $70,000.00 to $90,000.00 per yearSearch managed by: Luis Garcia
Equal Opportunity Employer/Veterans/Disabled
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The Company will consider qualified applicants with arrest and conviction records subject to federal contractor requirements and/or security clearance requirements.