New job Branch/Region Compliance Manager Irvine, California

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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 Manager Irvine, California Gerald Elliott posted a job: Branch/Region Compliance Manager Irvine, California "Our client, a top-tier financial services firm, seeks a Field Compliance Manager. 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. Qualifications - Bachelors Degree. - Minimum 2 years of industry experience. - Comprehensive knowledge of registered and non-registered products. - MUST HAVE SERIES 7 & SERIES 24 - Preferred Series 51 or 53. - Series 65, 66 or ChFC (or obtain within 6 months). - Excellent communication skills (written and verbal). - Strong analytical skills required. - Must be a self-starter, result oriented, a team player and be able to prioritize responsibilities. To apply please submit your resume to Info@compliancesearch.com"

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