Compliance Officer at Nashville

Job Description

Securities Broker Dealer

Direct Business Principal / Compliance Officer

This position will involve reviewing and approving new account applications, account transfer forms, and suitability forms and then forwarding them to investment companies on a daily basis.  The person in this role must understand investor suitability guidelines and have a working knowledge of many types of investments including mutual funds, stocks, bonds, REITs, direct participation programs, variable and fixed annuities, Reg. D (private placements), and Unit Investment Trusts.  The person must be well organized and able to work independently as they will be responsible for all direct (non-clearing firm) business.  They need to be able to work well with company staff and be able to communicate effectively and respectfully with the brokers and the companies we do business with.  Good computer skills including Microsoft office and the ability to learn new computer programs is a must.  We are a fast growing company with potential for advancement and compensation increases for the right person.

Securities Series 7, Series 24 licenses required 

Job Requirements

Position requires the review of investment client account applications on a daily basis for suitability.  It requires attention to detail and the ability to learn a series of forms and paperwork quickly.  The position will also require the employee to communicate effectively and pleasantly with coworkers, brokers and other companies to ensure the smooth flow of business and new accounts.  Computer skills are a must as the position involves data entry, electronic archiving, and electronic communication.  Experience in the financial and securities industry as well as securities licenses required. 

Country: USA, State: Tennessee, City: Nashville, Company: Center Street Securities, Inc..