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Advisory Compliance Supervisor
Prosperity Capital Advisors is seeking a highly focused and experienced Advisory Compliance Supervisor to drive initiatives related to advisor supervision, compliance and business risk, including surveillance programs to ensure effective monitoring of all advisor sales activities and education. The ideal candidate should have a broad-based understanding and experience in supervising all compliance requirements for FINRA and SEC rules and regulations, and of fixed and variable annuity products. This position will support advisors throughout the United States. The Advisory Compliance Supervisor will report to the President of PCA. Along with the Chief Compliance Officer, they will be responsible for maintaining a strong culture of compliance throughout the company.