Use existing supervisory applications to complete quarterly registered representative review of each individual FSA location, ensuring compliance with all policies, procedures, settings and circumstances.
Review, respond, and resolve Sales Practice customer complaints received verbally or in writing for Merrill edge.
Assist in arbitration and legal matters.
Monitor and review Investor Profile changes.
Review Policy Settlements of a particular threshold to ensure settlements are within Firm Policy and Procedures.
Requirements
2 years industry experience
Must have FINRA Series 7, 8 or 9/10, 63/65 or 66 to be considered for the role (in lieu of the 8 or 9/10 we could consider candidates holding all of the following licenses: 4, 24, and 53)
Bachelor’s Degree or equivalent work experience
Familiarity with compliance and regulatory issues
Strong auditing background with willingness to travel
Familiarity with Microsoft Word, Excel, and PowerPoint
Benefits
A predominate objective of the position is to limit risk and financial exposure to the business unit and the firm.
Become a member of the Branch Leadership Team, along with members of the Centralized Supervision.
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