Axtella

A financial services firm in Ann Arbor is seeking a Compliance Auditor to conduct branch examinations and ensure adherence to compliance regulations. The ideal candidate will have over 2 years' experience in the securities industry and possess strong communication skills. This role involves moderate travel and includes a week of training at the Ann Arbor office. Competitive wages and additional benefits are offered. #J-18808-Ljbffr

This range is provided by Axtella. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more. Base pay range $60,000.00/yr - $70,000.00/yr Direct message the job poster from Axtella Talent Manager | People Ops | Work-life Enhancer | Driving Business Success with HR Perspective Who We Are Axtella, LLC provides the business servicing needs to financial professionals from across the United States who choose to affiliate with either of our well-established independent investment securities broker-dealers (Sigma Financial Corporation and Parkland Securities LLC) and/or our Registered Investment Advisor (Sigma Planning Corporation). Job Description The Compliance Auditor is responsible for conducting on-site and remote branch examinations of Financial Professionals. The Compliance Auditor reports to the Audit Supervisor. The branch examination process involves the review of a branch office and all associated persons that conforms to FINRA...