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Scott & Stringfellow, Llc Work Values
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Daily Duties at Scott & Stringfellow, Llc:
Conduct exams of the firm’s retail branch offices. Exams are followed by formal reports of the deficiencies found including proposed corrective actions. Serve as a Compliance Liaison with the firm’s Financial Products and Services Group. Conduct compliance reviews of the firm’s investment advisory programs reporting any issues to members of senior management and members of the firm’s Investment Advisory Committee. Review advertising of both the retail branches and BB&T Capital Markets division as needed. Work on various projects as these arise throughout the year. • Serve as lead examiner in Compliance’s branch exam program. Work with members of management in the development of the exam program each fiscal year. Conduct both announced and unannounced branch exams and prepare final reports for each citing all deficiencies along with corresponding corrective actions. Examine the firm’s Centralized Supervision Unit’s supervisory reviews of the branch offices as related to each branch exam. • Conduct both monthly and quarterly reviews of the firm’s investment advisory programs. This also involves working with the Financial Products and Services Group to resolve any issues found through such reviews. • Respond to questions from the field on compliance related matters.
What they like about Scott & Stringfellow, Llc:
You give high priority to hiring firms with prestige. Market reputation and prestige of a firm may be determined through on-line research, and conversations with individuals working in your target industry. Note that firms "in the public eye" receive a great deal more critical publicity and attention than those operating with more anonymity. So as you assess your employment opportunities, be sure to seek out the positive aspects of the firm's reputation in addition to noting negative publicity the company may have received.
Tags
FINRA Series 7, FINRA Series 24, Risk Management, Internal Controls, Regulatory, Compliance, Cleveland, Risk Analyst, Risk Reviewer, Compliance Officer, Regulatory Affairs
Information about Scott & Stringfellow, Llc
Company Rank: Not Available
Average length of employment : 16 years
Average salary of employees: $73,000
These are some of the questions we asked our climbers about their experiences with Scott & Stringfellow, Llc:
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| Were your performance expectations clearly communicated? | 0.0 |
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| Were you recognized for meeting or exceeding expectations? | 0.0 |
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| Did you feel like your personal contribution was important? | 0.0 |
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| Was your career path clearly outlined and discussed? | 0.0 |
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| I would recommend this as a place of employment. | 0.0 | |
| I believe in the purpose of this organization. | 0.0 | |
| I would work for this organization again. | 0.0 | |
| I feel employees are fairly compensated. | 0.0 |
Climbers who worked at Scott & Stringfellow, Llc had these interests:
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| Wall Street Journal |
Business Publication |
