Retail Investments SME - SGA (Long Beach)


: $162,550.00 - $162,550.00 /year *

Employment Type

: Full-Time


: Financial Services - Banking/Investment/Finance

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Software Guidance & Assistance, Inc., (SGA), is searching for a Retail Investments SME for a contract assignment with one of our premier financial services clients in New York, NY.

  • Support creation of compliance policies/standards and compliance training.
  • Review registered representatives for outlier sales practice activities and potential misconduct and determination of corrective actions.
  • Conduct retail investments-related marketing reviews.
  • Review and approval of new products and updates to Product Programs.

Required Skills:
  • Retail investments subject matter expert with 10+ years of experience in compliance roles (or combination of compliance and in-business/supervisory roles).
  • Retail investment products and services sales and suitability (including investment advisory, traditional/packaged products, capital markets products, structured products, alternative investments and wealth planning.

SGA is a Certified Women's Business Enterprise (WBE) celebrating over thirty years of service to our national client base for both permanent placement and consulting opportunities. For consulting positions, we offer a variety of benefit options including but not limited to health & dental insurance, paid vacation, timely payment via direct deposit. SGA accepts transfers of H1 sponsorship for most contracting roles. We are unable to sponsor for Right-to-Hire, Fulltime, or Government roles. All parties authorized to work in the US are encouraged to apply for all roles. Only those authorized to work for government entities will be considered for government roles. Please inquire about our referral program if you would like to submit a candidate for any of our open or future job opportunities. SGA is an EEO employer. We encourage Veterans to apply. To view all of our available job postings and/or to learn more about SGA please visit us online at* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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