Regional Compliance Advisor
Investors Capital is looking for a Regional Compliance Advisor to join our in-house
supervision team in Lynnfield, Massachusetts.
The ideal candidate will:
- Have 2-5 years industry experience
- Hold FINRA Series 7 and 24 registration
- Be a self-starter who can work independently
- Be extremely organized
- Be detail oriented with strong analytic skills
- Have strong research and investigative skills
- Work well under strict deadlines
- Demonstrate being proactive
- Have excellent written and oral communication skills
Tasks will include but are not limited to being a direct supervisor for a number of
our independent registered representatives throughout the country, conducting on-site
field inspections at our representatives’ offices, the review of emails, blotters,
correspondence, business, commission runs and general compliance forms, and all other
compliance functions deemed necessary. The salary for this position is based on
experience and benefits include 3 weeks’ vacation, medical and dental insurance, as
well as other company benefits and perks. Candidate should expect to travel up to
30% of the time throughout the country and will be located at the home office when
not traveling. It is our goal at Investors Capital Corporation to create career paths
and advancement opportunities for our employees.
careers@investorscapital.com
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