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Compliance/Supervision Consultant.

Remote:

Full Remote

Contract:

Fixed term

Salary:

58 - 63K yearly

Experience:

Senior (5-10 years)

Work from:

Wisconsin (USA), United States

Offer summary

Qualifications:

2-3 years of financial industry experience, Client Series 7 and 24 registrations, Experience with Microsoft Word/Excel, Adobe, SharePoint.

Key responsabilities:

Review and approve Outside Business Activities and Passive Investments
Support staff and advisors in compliance with client regulations and policies
Identify and assess risks relating to industry regulations

Genesis10 Large https://www.genesis10.com/

1001 - 5000 Employees

See more Genesis10 offers

Job description

Genesis10 is currently seeking a Compliance/Supervision Consultant for a six month contract working remotely through April 2025 with a client located in Milwaukee, WI.

Job Description:
At the core of this role, you'll be supporting our staff and advisors in reviewing and approving Outside Business Activities (OBA's) and Passive Investments in compliance with Client regulations and Firm policy. Don't worry, we're ready and able to teach you about compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table.

What makes you a great fit for our team? Thrive as a self-directed learner with a strong sense of ownership and accountability. Move quickly with enough due diligence to identify potential conflicts or risks and then make risk-based decisions.

Must Have:

2-3 years of financial industry experience
Client Series 7 & 24 registrations
Experience with Microsoft word/excel, adobe, & SharePoint
Ability to act independently for items in positions span of control.
Ability to drive and engage in difficult conversations relating to regulatory requirements and company policy.
Ability to effectively communicate via phone/zoom or email.
Ability to effectively identify and assess risks relating to industry regulations and company policies.
Series 7 and 24 required to approve Outside Business Activities and Passive Investments of our registered representatives.

Nice To Have:

Ability to pivot priorities depending on business needs and emergencies.
Well organized.

Pay rate is $30-33/hr W2.

If you have the described qualifications and are interested in this exciting opportunity, apply today!

Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis10 provides access to many of the Fortune 100 firms and a variety of mid-market organizations across the full spectrum of industry verticals.
For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can talk you through the unique benefits offered for that particular client.
Benefits of Working with Genesis10:

• Access to hundreds of clients, most who have been working with Genesis10 for 5-20+ years.
• The opportunity to have a career-home in Genesis10; many of our consultants have been working exclusively with Genesis10 for years.
• Access to an experienced, caring recruiting team (more than 7 years of experience, on average.)
• Behavioral Health Platform
• Medical, Dental, Vision
• Health Savings Account
• Voluntary Hospital Indemnity (Critical Illness & Accident)
• Voluntary Term Life Insurance
• 401K
• Sick Pay (for applicable states/municipalities)
• Commuter Benefits (Dallas, NYC, SF)
• Remote opportunities available

For multiple years running, Genesis10 has been recognized as a Top Staffing Firm in the U.S., as a Best Company for Work-Life Balance, as a Best Company for Career Growth, for Diversity, and for Leadership, amongst others. To learn more and to view all our available career opportunities, please visit us at our website.
Genesis10 is an Equal Opportunity Employer. Candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran.