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Compliance/Supervision Consultant.

Remote: 
Full Remote
Contract: 
Experience: 
Senior (5-10 years)

Offer summary

Qualifications:

Bachelor's degree, 2-3 years of financial industry experience, Series 7/24 certification, Experience with Microsoft Word/Excel, Adobe, and SharePoint.

Key responsabilities:

  • Approve accounts and support principals
  • Educate the field on best practices
  • Assist advisors and clients with compliance reviews
  • Manage phone queue and transaction processing

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Genesis10 Large https://www.genesis10.com/
1001 - 5000 Employees
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Job description

Genesis10 is seeking a Compliance/Supervision Consultant for a 6-8+ month, 100% remote from home, contract position. This role is with an insurance company based in Milwaukee, WI.

Responsibilities:
  • Will approve accounts, provide principal support, and educate the field on best practices
  • Support advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to ensure compliance with regulations and company policies
  • Field calls from our financial representatives to advise on our compliance procedures and help them with their business
  • Support phone queue (30 hours/week) and processing (10 hours/week)

Requirements:
  • Bachelor's degree 2-3 years of financial industry experience
  • Series 7/24 (Series 9/10 are a plus)
  • Experience with Microsoft word/excel, adobe, and SharePoint

Preferred Experience:
  • New accounts, advisory, brokerage, and annuities experience
  • Client series 9/10

Compensation:

Only candidates available and ready to work directly as Genesis10 employees will be considered for this position.

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

About Genesis10:

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)

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.

Required profile

Experience

Level of experience: Senior (5-10 years)
Spoken language(s):
English
Check out the description to know which languages are mandatory.

Other Skills

  • Microsoft Word
  • Microsoft Excel
  • Teamwork
  • Communication
  • Problem Solving

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