Tier4 Group · 1 day ago
Compliance Supervisor
United States
Contract
Remote
Entry, Mid Level
2+ years expTier4 Group is a company that supports advisors and clients by reviewing investment transactions for a Fortune 500 client. The Compliance Supervisor role involves ensuring compliance with regulatory and internal policies for investment transactions, including new accounts and ongoing monitoring.
CRMInformation TechnologySoftwareVirtual Reality
Hiring Manager
Anna Fischer
Responsibilities
Reviewing investment transactions for our Fortune 500 client
Ensuring compliance with regulatory and internal policies
Training on specific compliance guidelines
Qualification
Required
Bachelor's degree
2–3 years of experience in the financial industry
Active Series 7 and 24 registrations
Proficiency in Microsoft Word, Excel, Adobe, and SharePoint
Preferred
Advertising compliance experience
Benefits
Competitive Rates and Benefits
Company
Tier4 Group
Tier4 Group is a women-owned and diversity-certified technology Talent, Professional Services, Advisory, and Information Security firm with a national reach.
201-500 employees
Funding
Current Stage
Growth StageLeadership Team
Betsy Robinson
Founder + CEO
Jake Sherrill
Partner
Recent News
2025-05-17
Company data provided by crunchbase