Regional Compliance Officer - (US-IL-Clarendon Hills - 60514)

Minimum Education: None
Jobcode: 56404287
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The Regional Compliance Officer will be responsible for the supervision of the Financial Advisors, Licensed Bankers and other region individuals licensed through NatCity Investments. Additionally this individual will be responsible for the review of brokerage accounts and analysis of activity within those accounts, which includes monitoring to ensure compliance with FINRA guidelines for account activity.
Required Skills:Compliance Background Series 7, 66 or 65 63 & 65, 24, State Life & Health. Travel required in Chicago Metro and Southern Wisconsin areas.This position requires a minimum of 5 years related work experience.

Full time 40 hours