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Investment Advisors Central Surveillance Principal

Company: N/A

Location: Creve Coeur, MO

Pay: N/A

Contact Information


Name: Brian Hannah
Phone: (314) 269-8067
Fax: n/a
Apply Online

Job Description

SUMMARY:

The main purpose of this position is to provide remote sales surveillance and support within the Company Investment Management (SIM) assigned branches and support branch offices with ongoing monitoring to ensure compliance with internal policies, applicable laws and regulations.

ESSENTIAL FUNCTIONS:

KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

MINIMUM EDUCATION & EXPERIENCE:


Job Requirements