Details: Job ID: 00104801Location: CA - AgouraRelocation Provided: NoneEducation Required: Bachelors DegreeExperience Required: NonePosition Description: Responsibilities include review and examination of exception reports, transactions and examination of Office of Supervisory Jurisdiction (OSJ); may investigate and resolve complaints; review various business activities for compliance with SEC, NASD and State Securities regulation at the director of management.Position Requirements: Review customer transactions, exemption reports and follows up issues.Reviews reports from internal audit staff and Regional OSJ Supervisors and follows up deficiencies to assure correction.Examine and investigate complaints, prepares reports for FFS management.Examine OSJ branch activities and ensure any deficiencies are corrected.Performs other duties as assigned.Position Attributes: Candidates with securities compliance experience highly preferred.
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