New job Compliance Branch Management Supervision – Home Office Position New York

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Compliance Branch Management Supervision – Home Office Position New York Gerald Elliott posted a job: Compliance Branch Management Supervision – Home Office Position New York "Top-tier financial services firm is seeking a Compliance Branch Manager who will help develop and conduct education and training sessions for field management, agents/registered representatives, and agent's staff on issues of market conduct, field supervision, compliance matters, etc. Other duties include: - Conduct OSJ inspections on behalf of the firm’s report findings, and make recommendations. - Establish and maintain records of each inspection and follow-up to be sure that all discrepancies are resolved. Communicate results to the firm - Conduct supervision interviews for registered representatives and principals who are employees and maintain appropriate individual files. - Conduct unannounced supervisory interview/inspections for agents/registered representatives and sign-off on such inspections. - Conduct Agency Standards reviews of General Offices to ensure adherence to Company and State regulatory guidelines and procedures. - Investigate and resolve agent and agency conflicts. - Investigate agent in market conduct matters; recommend and implement disciplinary actions and additional supervision and training. - Deal with sexual harassment, discrimination, and other EEO matters including investigations and follow-up recommendations. - Brief OGC attorneys and outside counsel on litigation cases and represents the Company at trial. - Coach and develop General Office management and agents through training classes and seminars to ensure compliance with Agency Standards and rules. - Conduct special investigations as directed by Home Office Agency Standards, OGC, and Corporate Compliance. Qualifications - Comprehensive knowledge of registered and non-registered products. - Must have Series 7 Registered Representative designation and Series 24, Registered Principal. - Must have a CLU designation or completed several parts. - Bachelor's Degree. - Highly developed skills in written and oral communications. To apply please submit your resume to Info@compliancesearch.com"

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