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Remote Regulatory Operations Consultant

Company: VirtualVocations
Location: Pasadena
Posted on: November 19, 2022

Job Description:

A mutual life insurance company needs applicants for an opening for a Remote Regulatory Operations Consultant.

Core Responsibilities Include:
Performing trade surveillance and monitoring activities
Assisting with development of corrective action plans designed to eliminate or reduce potential risks
Working efficiently and effectively to meet or exceed Firm benchmarks for timeliness and productivity
Must meet the following requirements for consideration:

Series 7 and 24
Bachelor's degree or High School Diploma/GED + 10 years of financial services experience
2+ years' related Broker dealer experience with high business acumen
Works independently while collaborating with management, business partners and Compliance
Knowledge of trade review systems, computer skills, analytical competency and sound decision-making capacity
Strong Microsoft office skills including Outlook, Excel, PowerPoint and Word

Keywords: VirtualVocations, Pasadena , Remote Regulatory Operations Consultant, Other , Pasadena, Texas

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