Tier4 Group · 1 day ago
Compliance/Supervision Consultant -Remote
United States
Contract
Remote
Entry, Mid Level
2+ years expTier4 Group is seeking a Compliance/Supervision Consultant to support their advisors and clients in ensuring compliance with regulations and company policies. The role involves reviewing investment transactions and providing consultative support to financial advisors.
CRMInformation TechnologySoftwareVirtual Reality
Responsibilities
Supporting our advisors and clients in reviewing different investment transactions (new accounts, subsequent transactions, monitoring trades) to make sure we are in compliance with regulations and company policies
Primarily supporting our financial advisors as they call in to our team and providing consultative support to our policies, procedures, and helping them with their business
Qualification
Required
Bachelor's degree
2-3 years of financial industry experience
Series 7/24 or 9/10 registrations
Experience with Microsoft word/excel, adobe, & SharePoint
Active Listening
compassionate and empathetic support
Service Oriented
Preferred
9/10 registrations preferred
Advertising compliance experience preferred
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