New job Branch/Region Compliance Associate New Hampshire

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Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Branch/Region Compliance Associate New Hampshire Gerald Elliott posted a job: Branch/Region Compliance Associate New Hampshire "Our client, a top-tier financial services firm, seeks a Senior Compliance Associate. This position will be based out of the New Hampshire office. In addition the position will cover the Boston/Maine general offices as well. Responsibilities include: - Assist Managing Partner in Agent Supervision. - Complete Unannounced Annual Reviews. - Review upcoming 3010 Mail. - Review outgoing correspondence. - Conduct Firm Element and Registered Representative Training. - Maintain Sales Material Review Procedures. - Train agents on proper file procedures. - Handle complaints. - Follow-up and track compliance and supervision operations. - Handle/maintain registered products sales materials and prospectuses. - Prepare for General Office Reviews. Required Qualifications: - Bachelors Degree. - Minimum 2 years of industry experience. - Comprehensive knowledge of registered and non-registered products. - Must have Series 7 and 24. - Preferred Series 51 or 53. - Series 65, 66 or ChFC (or obtain within 6 months). - Excellent communication skills (written and verbal). To apply please submit your resume to Info@compliancesearch.com"

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