Jobs, career information, and employment services for job candidates, employees, employers and recruiters.
- Work at Home Jobs, Work from Home Jobs
Compliance Auditor .
Employer:
ComplianceMAX Financial .
Location: Seattle, Washington United States .
Last Updated: 12/28/2007 .
Job Type: Employee .
Job Status: Full Time .
Apply on employer's website (this will open a new window).
Job Description .
Compliance Auditor
ComplianceMAX Financial, part of National Regulatory Service/SourceMedia, is the nation’s leading securities registration and compliance consulting firm, providing products &services to over 6,000 Investment Advisors and Broker-Dealers in 6 countries. ComplianceMAX NRS employs over 50 compliance experts that provide compliance and registration products and services for Investment Advisers, Brokerage-Dealers, Investment Companies and Insurance institutions. ComplianceMAX currently has an excellent opportunity for a Broker Dealer Compliance Auditor to cover a nationwide territory based from the East Coast.
Reporting to the National Audit Program Manager, this position offers the ability to work from home. Qualified candidates will be responsible for supporting our Investment Adviser and Broker-Dealer Consulting and Auditing Division by traveling to various client sites nation-wide to perform mock regulatory audits for Investment Advisers and branch audits for Broker-Dealers. Specific duties will include: providing individualized specialized compliance consulting; reviewing advertising, drafting &amending firm procedures, utilizing available technology to provide prompt and accurate reporting of audit results; maintaining full responsibility of all artifacts collected during audit process; and providing other filings and compliance services as needed.
Qualified candidates will posses a Bachelor’s Degree, current/past securities licenses and a minimum of 3 years of securities industry experience. Familiarity with NASD, SEC and state securities regulations, as well as knowledge of regulations systems including IARD &CRD, is required. Strong Microsoft Office, reading comprehension and writing skills are essential. Successful candidates will possess an unparalleled professional integrity, with superior communication and interpersonal skills, strong multi-tasking and deadline efficiency skills and must be highly detail-oriented with the ability to work well and achieve goals without direct supervision. This position requires 50-60% travel throughout the U.S. with an occasional trip abroad.
NRS ComplianceMAX offers an excellent compensation package including competitive salary &comprehensive benefits starting on your first day, matching 401K plan, tuition reimbursement and more in a great working environment providing excellent leadership and support. Please Apply Online at: www.sourcemedia.com/HR/application OR email resume as attachment to: heidihutchison@compliancemax.com. Only resumes with salary requirements will be considered. Equal Opportunity Employer, M/F/D/V. No Phone Calls Please.
Apply on employer's website (this will open a new window).
Email This Page!