Rapidly Growing Mid-Size Firm Seeking To Expand Its Compliance Team
Vanderbilt Financial Group
Leading Sustainable Independent Broker/Dealer and Investment Advisory Firm of approximately 200 representatives nationwide is seeking experienced compliance individuals ranging from Principal Approver, Trade Surveillance, BD & Advisory Account Surveillance, and CRD & State Registrations to work in their New York based Home Office (remote possible for the right person). The Firm is dedicated to providing a positive compliance culture while delivering exceptional customer service and true independence to its “entrepreneurial” representatives with the standards of our core values of Gratitude, Respect, Innovation, Teamwork & Trustworthiness (GRITT).
Required Skills:
Strong service orientation and ability to establish and maintain effective working relationships with peers, business units, and Advisors
Ability to work collaboratively in a team environment
Possess a high level of attention to detail
Working knowledge of NFS/IWS systems, Charles Schwab, TD Ameritrade, Redtail Technology, Docupace, Docusign, Albridge, Quest CE, Jaccamo Software preferred, but not a specific requirement.
Required Experience:
Experience requirement dependent on position
Licenses/Requirements:
Series 7, 24, 63, 65 (or 66) (4 & 53 are a plus, but can be acquired after employment)
Submit resume with cover letter to JobPosting945@gmail.com
How to apply:
To apply for this job email your details to JobPosting945@gmail.com