💼 Supervision Auditor
- Company
- Cetera Financial Group
- Location
- Des Moines, IA
- 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
- Discover tailored job recommendations at PromptYourJob™ © by easily uploading your resume without the need to signup. No Resume? Try our innovative search functionality powered by AI. Click the button below to find the best job matches for you.
