USA Sr. Associate, Investment Supervision
$86,250–$165,000 year
On-site · Miami, Florida, United States
Miami, Florida, United StatesOn-siteFull Time$86,250–$165,000 yearMid LevelBachelors DegreeFINANCEEnterprise
Type
Full Time
Level
Mid Level
Education
Bachelors Degree
Company size
Enterprise
Industry
FINANCE
Job Summary
The Sr. Associate, Investment Supervision oversees a group of Financial Advisors to ensure compliance with FINRA rules, reviews new accounts and trade activity, partners with Directors to resolve exceptions, and identifies and documents trades for suitability according to regulations.
Required Qualifications
- Bilingual English/Spanish
- 9+ Years Supervision, compliance, audit, or regulatory experience
- Strong analytical background
- Knowledge of Equity, FX, Credit, Structured Products, Alternatives trading
- Strong technical skills
- Strong communication skills
- FINRA Series 7 and Series 24
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