Compliance/Supervision Consultant

Company: Genesis10
Location: Milwaukee
Posted on: May 27, 2023

Job Description:

Genesis10 is currently seeking a Compliance/Supervision Consultant for a contract lasting through November 2023 working remotely with an insurance company in Milwaukee, WI. At the core of this role you'll be supporting our advisors and clients to make sure we are in compliance with regulations and company policies through various duties. Some of these include address & trustee monitoring, order acceptance review and working alerts in the Personal Trading Assistant system (PTA). Don't worry, we're ready and able to teach you about compliance regulations and company policies that shape our work. What we need from you is a desire to learn the technical subjects and combine that knowledge with the capabilities and experience you bring to the table. Our division supervises both our field force and home office to make sure we are in compliance with regulations and company policies. What makes you a great fit for our team? Move quickly with enough due diligence to work with and around limited information Strong technical knowledge of the operational aspects related to brokerage and advisory services/products Ability to apply knowledge across complex business areas Strong business acumen and eager to learn new business concepts and procedures Learn, take risks, and be open to feedback as part of personal learning and development Qualifications: Bachelor's degree 2-3 years of financial industry experience Must have an active Series 7/24 registrations or Series 9/10 Experience with Microsoft Word/Excel, Adobe, & SharePoint. NetX360 experience is a nice to have, but not required. What are the must haves for this role? Client Series 7/24 or Series 9/10 registrations What are the nice to haves for this role? Experience using NetX360 Strong technical knowledge of the operational aspects related to brokerage and advisory services/products If you have the described qualifications and are interested in this exciting opportunity, apply today! Compensation is $35.00 - 40.00 per hour Ranked a Top Staffing Firm in the U.S. by Staffing Industry Analysts for six consecutive years, Genesis10 puts thousands of consultants and employees to work across the United States every year in contract, contract-for-hire, and permanent placement roles. With more than 300 active clients, Genesis10 provides access to many of the Fortune 100 firms and a variety of mid-market organizations across the full spectrum of industry verticals. For contract roles, Genesis10 offers the benefits listed below. If this is a perm-placement opportunity, our recruiter can talk you through the unique benefits offered for that particular client. Benefits of Working with Genesis10: Access to hundreds of clients, most who have been working with Genesis10 for 5-20+ years. The opportunity to have a career-home in Genesis10; many of our consultants have been working exclusively with Genesis10 for years. Access to an experienced, caring recruiting team (more than 7 years of experience, on average.) Behavioral Health Platform Medical, Dental, Vision Health Savings Account Voluntary Hospital Indemnity (Critical Illness & Accident) Voluntary Term Life Insurance 401K Sick Pay (for applicable states/municipalities) Commuter Benefits (Dallas, NYC, SF) Remote opportunities available For multiple years running, Genesis10 has been recognized as a Top Staffing Firm in the U.S., as a Best Company for Work-Life Balance, as a Best Company for Career Growth, for Diversity, and for Leadership, amongst others. To learn more and to view all our available career opportunities, please visit us at our website. Genesis10 is an Equal Opportunity Employer. Candidates will receive consideration without regard to their race, color, religion, sex, sexual orientation, gender identity, national origin, disability, or status as a protected veteran. Genesis10-

Keywords: Genesis10, Milwaukee , Compliance/Supervision Consultant, Professions , Milwaukee, Wisconsin