Onboarding Analyst – Consulting – Remote
This notable financial services company is looking for someone to act as the liaison between Supervisory Principals and prospective advisors, ensuring compliance in every step of the process. The ideal professional will have a strong background in securities along with an eagerness to learn, grow, and lead. A strong finance background and leadership will give you the edge you need to succeed in this unique role.
What you’ll do:
Conduct due diligence review on high risk registered representatives and Non-Licensed Associates
Collaborate with advisors, business partners, and senior management to provide best practices for compliance
Review requests for Outside Business Activities and Private Securities Transactions submitted by advisors
Who you are:
Bachelor’s degree in Accounting, Finance or related field
5+ years of securities industry experience, directly in financial services experience
Series 7 and 24 required
What to do now:
Please send your resume to Marilyn Kaforey at firstname.lastname@example.org – we'd love to hear from you!
We actively support and promote people of various backgrounds, from race, religion and gender to geographical area, university, lifestyle and personality type. Proven Recruiting is minority-owned, majority women, and is a strong advocate for diversity and inclusion in the broader community. Do not hesitate to apply now!