Role Overview

We are seeking a candidate looking to advance their career in compliance. The ideal individual demonstrates strong analytical capabilities, a high level of accountability and professionalism, and excellent organizational skills. They possess clear and effective written and verbal communication abilities, a keen attention to detail, and a consistent track record of thorough follow‑through. A strong ethical foundation and sound judgement are essential for success in this role.

Key Responsibilities

• Supervisor of retail and managed accounts.
• Conduct daily trade reviews.
• Conduct monthly reviews within 21 days of the period.
• Responsible for sending account inquiries to advisors and diligently tracking their progress to ensure issues are resolved satisfactorily in a timely manner.
• Perform quarterly reviews of managed and fee‑based accounts.
• Review and process trade corrections.
• Pr...