Summary/Responsibilities:
Maintain WSP's for the Broker-Dealer and RIA
Conduct branch examinations
Review in-house account forms/documents
Review and approve correspondence/presentations/marketing materials
Manage and review alternative investments such as REIT's
Report directly to the CCO
Requirements:
3+ years compliance experience
Series 7 and Series 63 -- required
Series 24 -- strongly preferred (if you do not hold the 24 you are required to obtain within 180 days of employment)
Supervision experience in Indexed Annuities is preferred but not necessary
- Location: Pittsburgh, PA Area
- Compensation: Based on experience
- Principals only. Recruiters, please don't contact this job poster.
- Please, no phone calls about this job!
- Please do not contact job poster about other services, products or commercial interests.
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