Compliance Auditor: FINRA Regs Coach (Travel)

Axtella; Ann Arbor (MI); On-site; USD 60,000 - 70,000; Full time

Benefits offered by this job

Competitive wages

Paid time-off

Wellness benefits

Paid tuition/education benefit

Retirement plan with employer match

Job summary

A financial services firm in Ann Arbor is seeking a Compliance Auditor to conduct branch examinations and ensure adherence to compliance regulations. The ideal candidate will have over 2 years' experience in the securities industry and possess strong communication skills. This role involves moderate travel and includes a week of training at the Ann Arbor office. Competitive wages and additional benefits are offered.

Qualifications

• 2+ years of experience in investment securities broker-dealer or registered investment advisory industry.
• Strong communication skills required.
• Moderate computer skills and ability to manage time.

Responsibilities

• Conduct on-site and remote branch examinations of financial professionals.
• Coach financial professionals on compliance with regulations.
• Maintain and grow knowledge on industry trends.

Skills

Communication skills

Time management

Knowledge of FINRA regulations

Education

Bachelor's degree

Tools

QuestCE

Job description

A financial services firm in Ann Arbor is seeking a Compliance Auditor to conduct branch examinations and ensure adherence to compliance regulations. The ideal candidate will have over 2 years' experience in the securities industry and possess strong communication skills. This role involves moderate travel and includes a week of training at the Ann Arbor office. Competitive wages and additional benefits are offered.