Supervisory Principal - Background Review Job at Associate Staffing, Fort Mill, York County, SC

d2pKTnY0alNvd2tqcVdZUzNLa2M1c21uZVE9PQ==
  • Associate Staffing
  • Fort Mill, York County, SC

Job Description

The Company:

A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.

What You Will Be Doing:

The Supervisory Principal is responsible for the review of Background, Outside Business Activity, and Private Securities Transaction Requests for advisors. They are also responsible for ensuring the advisors are meeting the standards and requirements that are set by the company and conducting due diligence reviews.

Qualifications:



  • Licenses/Certifications Required: FINRA Series 7, Series 24, and Series 63 or 66

  • Minimum of 2 years of relevant experience with Advisor Background, OBA, or Marketing Material Review

  • Experience with Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio


    Equal Opportunity Employer:

    Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.

     

Job Tags

Similar Jobs

The Rush Companies

VP of Finance Job at The Rush Companies

 ...Summary: The Vice President of Finance is responsible and accountable for all accounting and treasury activities in all Rush Companies. The position must maintain all accounting functions according to GAAP and in such a manner that an outside audit would reveal no major... 

第一銀行 FirstBank

Commercial and Industrial Loan Officer Job at 第一銀行 FirstBank

 ...of clients. Examine the accuracy of financial statement and appraisal report of clients. Prepare middle market and syndication loan application documents, and process risk managements for loan clients. Ensure compliance with all internal controls and... 

Open Systems Technologies

Operations Project Manager - Banking/Financial Job at Open Systems Technologies

 ...PM role -Operational focus -Systems integration background required - integrating with front office system. MUST be in resume -Managing back office account data -Tech heavy backgrounds wont be the right fit. Need operations -Handling business requirements -... 

LARSON FINANCIAL HOLDINGS, LLC

Property Manager Job at LARSON FINANCIAL HOLDINGS, LLC

 ...taking ownership of capital planning, tenant relations, leasing coordination, and asset performance. Top performers will have the...  ...projects and working with city officials. ~ Bachelor's degree in real estate, business, or a related field preferred (or equivalent experience... 

The Help Company

Looking for an amazing junior butler to support a large family in San Antonio Job at The Help Company

We are helping a family of 7 find an additional butler to add to their team of 2 butlers. The schedule will change weekly due to the familys needs, but you will always get 1-2 days off per week. You will help support the principals and butlers with any ad hoc duties, ...