Senior Compliance Officer
Location: Birmingham, Alabama
Description: Protective Life Corporation is at the momment seeking for Senior Compliance Officer right now, this occupation will be delegated in Alabama. For detail informations about this occupation opportunity please give attention to these descriptions. ProEquities has an immediate need for a Senior Compliance Officer to join its' Birmingham based team. The Senior Compliance Officer will be responsib! le for handling regulatory inquiries and customer complaints; serve as liaison with attorneys in litigation/arbitration; coordinate filings with Errors & Omission carrier; and other duties and projects that may be assigned.
Responsibilities:
- Customer complaint review and response
- Responsible for working on issues - correct errors, etc.
- Regulatory Inquiries review and response
- Disclosure DRPs for complaints, etc.
- 3070 filings
- Assist in developing training programs as needs are identified
- Bachelors degree, preferably business related, with minimum of 6 years experience in the securities industry.
- Candidate must have an in-depth working knowledge of the securities industry, rules products and back office operations.
- Must have a Series 7, 63, and 24 license.
- Must have a high level of interpersonal skills to communicate with Managers a! nd Registered Representatives, and be able to communicate inte! rnally with Compliance and management both face-to-face and written documentation.
- The successful candidate must be organized, able to focus on details, be a team player, and be able to work on special projects and initiatives on an as needed basis.
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If you were eligible to this occupation, please send us your resume, with salary requirements and a resume to Protective Life Corporation.
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This occupation starts available on: Thu, 03 Oct 2013 10:21:38 GMT
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