Senior Compliance Officer
Location: Birmingham, Alabama
Description: Protective Life Corporation is hiring Senior Compliance Officer right now, this vacancy will be depute in Alabama. For complete informations about this vacancy opportunity kindly read the description below. ProEquities has an immediate need for a Senior Compliance Officer to join its’ Birmingham based team. The Senior Compliance Officer will be responsible for handl ing regulatory inquiri! es 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 â€" correct errors, etc.
- Regulatory Inquiries review and response
- Disclosure DRPs for complaints, etc.
- 3070 filings
- Assist in developing t raining 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 and Registered Representatives,! and be able to communicate internally with Compliance and man! agement 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.
- .
If you were eligible to this vacancy, please email us your resume, with salary requirements and a resume to Protective Life Corporation.
Interested on this vacancy, just click on the Apply button, you will be redirected to the official website
This vacancy will be started on: Wed, 02 Oct 2013 01:11:06 GMT
Apply Senior Compliance Officer Here