💼 Supervision Auditor
- Company
- Cetera Financial Group
- Location
- Schaumburg, IL
- Date posted
- 2025-01-07
- Job Type
- None
- Industry
- Accounting / Finance
- Description
- Securities Compliance Auditors conduct audits of branch offices to determine compliance with FINRA, SEC and State requirements, and company policies and procedures. This is a hybrid role, 2 days weekly in the office. What you will do: Directly oversees advisors by conducting branch audits of brokerage and advisory branch offices Provide education and training to Representatives concerning regulatory, corporate, and legal requirements, general product offerings, licensing issues as well as...See full description
- Important Skills Hard skillsSoft Skills
- Auditing Financial Analysis Risk Assessment Internal Controls Data Analysis Accounting Analytical Skills Attention to Detail Critical Thinking Communication Problem Solving Time Management
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