FINRA Licensed Supervision Analyst
Company: VirtualVocations
Location: Pasadena
Posted on: February 5, 2025
|
|
|
Job Description:
A company is looking for a Supervision Analyst to lead the daily
review process for new business compliance.
Key Responsibilities
Review new business daily for compliance and provide principal
approval or resolve deficiencies
Maintain understanding of firm policies and communicate them
effectively to others
Collaborate with the principal review team on trends, case studies,
and regulatory changes
Required Qualifications
Bachelor's degree in business, finance, economics, or a related
field
Minimum of 4 years of experience in Financial Services
FINRA Series 7, 66 (or 63 & 65), and 24 required
Insurance license required or ability to obtain within the first
year of hire
Proficiency in Microsoft Office Suite or related software
Keywords: VirtualVocations, Montebello , FINRA Licensed Supervision Analyst, Professions , Pasadena, California
|
Click
here to apply!
|
