Brokerage Trade Review & Compliance Specialist

A financial institution in Cleveland, North Carolina is seeking a compliance professional to conduct trade reviews in adherence to regulations. The role requires strong customer service and interpersonal skills, along with a minimum of three years in the securities industry. Candidates must hold or be able to obtain Series 7, Series 63 & 65 or 66, and Series 24 licenses. Additional qualifications include an Associates degree in a relevant field and proficiency in necessary software. This position emphasizes maintaining industry knowledge and compliance standards. #J-18808-Ljbffr