Wealth Compliance Regional Supervisor

Cooper Lighting Solutions; Atlanta (GA); On-site; USD 90,000 - 120,000; Full time

Benefits offered by this job

Medical insurance

Dental insurance

Vision insurance

401k plan

Paid vacation and sick days

Job summary

Cooper Lighting Solutions is looking for a Compliance Supervisor in Atlanta, Georgia, who will oversee adherence to industry rules and internal policies. This role demands exceptional communication skills and a solid decision-making ability while managing compliance activities.

The ideal candidate should possess relevant licenses and at least 5 years of supervisory experience in brokerage or investment advisory environments. The position offers benefits including medical, dental, and a 401k plan.

Qualifications

• 5 or more years related retail brokerage and/or investment advisory experience.
• Strong written and verbal communication skills.
• Exceptional industry disciplinary history.

Responsibilities

• Supervise Broker Dealer activity and ensure compliance.
• Review electronic correspondence for compliance.
• Implement internal compliance procedures and training.

Skills

Supervision/Compliance expertise

Strong communication skills

Decision-making capabilities

Investigative skills

Education

Bachelor's degree in Finance or Business

Job description

Cooper Lighting Solutions is looking for a Compliance Supervisor in Atlanta, Georgia, who will oversee adherence to industry rules and internal policies. This role demands exceptional communication skills and a solid decision-making ability while managing compliance activities.

The ideal candidate should possess relevant licenses and at least 5 years of supervisory experience in brokerage or investment advisory environments. The position offers benefits including medical, dental, and a 401k plan.