Job Description:

• Compliance reviews including advertising, correspondence, seminars, sales literature, Web/Social Media activity and outside account statements
• Review/approve transactions pertaining to Brokerage, Direct Mutual fund accounts
• Manage Regulatory Element compliance, AML training and email archiving
• Monitor the political contributions of the registered representatives to make sure they are in compliance with the necessary regulations
• Conduct field audits of branch offices in addition to doing the necessary pre- and post-audit paperwork
• Review the Business Continuity Plan and Written Supervisory Procedures to ensure that they are up-to-date whenever a Registered Representative joins or leaves FHC