Compliance/Supervision Consultant

At the core of this role, you will be supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies. You will do this through primarily supporting our financial advisors as they call in to our team and providing consultative support to our policies, procedures, and helping them with their business. We will train you on 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.