Compliance/Supervision Consultant - Milwaukee - Manpower

    Manpower
    Manpower Milwaukee

    9 hours ago

    $10,000 - $15,000 (USD) per year
    Description

    Compliance/Supervision Consultant

    We are seeking a licensed Compliance/Super vision Consultant to join our team in Milwaukee. This role requires an active FINRA series 7 and 24 license. Experience with series 9/10 and/or 4/53 is also beneficial.

    • This position involves working closely with a large team of Supervisors who review new account opening processes, as well as collaborating with our Field Force on account opening documentation.
    • The core responsibility of this role includes supporting advisors and clients by reviewing investment transactions (new accounts, subsequent transactions, monitoring trades) to ensure compliance with regulations and company policies.

    To be successful you should:


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