Associate Compliance Officer - Branch Audits & Training
Prime Capital Financial
Prime Capital Financial seeks an Associate Compliance Officer to lead examinations of branch offices, conduct client file reviews, and evaluate investment recommendations. You will gather data from Salesforce, ACA ComplianceAlpha, and Orion, and work with advisors to implement improvements. Ideal candidates hold relevant licenses and 3+ years in financial services compliance, with up-to-date knowledge of SEC/FINRA rules. #J-18808-Ljbffr Prime Capital Financial
Vacancy posted 3 days ago
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