Brokerage Trade Review & Compliance Specialist

A financial institution located in Defiance, Ohio is seeking a professional to conduct trade reviews and ensure compliance with regulatory and firm policies. The ideal candidate will have a background in the securities industry, with at least three years of experience and relevant licenses including Series 7, 63, and 65 or 66. Strong customer service and interpersonal skills are essential for engaging with various departments and clients, and maintaining a thorough understanding of financial products and regulations. This role offers a chance to grow within a highly regulated environment. #J-18808-Ljbffr