Market Compliance Specialist

The Market Compliance Specialist is responsible for reviewing all compliance systems  SuperVision  AnnuityNet  Assentor  etc  for all branches within the Market and reports the findings to the Market Compliance Manager on a daily basis  The Market Compliance Specialist works with the Market Compliance Manager to ensure that branch compliance procedures fulfill all compliance requirements  The Market Compliance Specialist performs routine regulatory  compliance  and operational reviews as well as other duties as assigned  as delegated by the Market Compliance Manager  e g  new account forms  daily order review  etc  for each branch  within the Market  bringing any deficiencies or concerns to the Market Compliance Manager s attention immediately  Conducts regularly scheduled compliance systems reviews  e g  SuperVision  AnnuityNet  Assentor  etc  and reports results to the Market Compliance Manager  May also be responsible for other compliance responsibilities such as correspondence  new account forms  etc  as delegated by the Market Compliance Manager  Ensures compliance requirements are adhered to within the branches  Assists Market Compliance Manager with compliance visits and replies  Identifies areas for improvement in compliance operational efficiency and effectiveness  Works to resolve any deficiencies or concerns in a timely manner  Acts as a liaison for the branches on compliance matters and escalates all compliance issues concerns to the Market Compliance Manager as necessary  REQUIREMENTS  Series 7    9  10  63 and 65 licenses required  If do not have Series 9  10    65 must obtain within 90 days  3 plus years industry experience and 1 year compliance management experience preferred  Mon  Fri  8 00am  5 00pm

Please refer to job code 287667 when responding to this ad.

Category:	Accounting/Banking/Finance/Insurance
	> Other Banking
Location:	Washington, DC
County:	District Of Columbia County
ZIP Code:	20001
Pay Rate:	Open
Job Terms:	full time
Company:	Wachovia Corporation
Phone:	email only please
Fax:	email only please