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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate
Litigation - Whistleblower - CFTC
Min 7 yrs required
Advisory Financial Services Manager BrokerDealer Compliance Candidate should have Bachelor’s degree. Advanced degree like Juris Doctor, Masters of Business Administration preferred. 7+ years of experience required. Candidate will have to travel 81-100% of the time. Demonstrates proven extensive knowledge and success with managing compliance-related consulting engagements within a top consulting or accounting firm and/or a regulatory agency, including: Development of solutions related to sales and trading, compliance, operations, and/or regulatory reporting in a number of functional areas of sell side/buy side, retail or institutional Broker-Dealers; Broker-Dealer compliance, including developing, analysing and assessing compliance programs; constructing, monitoring and auditing programs; managing internal risk assessment and investigations, collaborating with organization management to integrate compliance controls into the scope of existing business practices; developing and delivering compliance training, and managing incident management systems; Management of multiple, complex projects and direct medium to large staff teams. Candidate should demonstrate proven extensive abilities and success with leading client-facing consulting teams, including: Developing and implementing compliance programs, including remediation of regulatory issues, development of policies and procedures, oversight and monitoring for personal trading, surveillance, regulatory reporting, and supervision; Communicating with external clients and internal staff in an organized and knowledgeable manner; Leveraging project management and project facilitation skills, especially with leading and facilitating teams and developing client proposals; Identifying and addressing client needs: developing and sustaining deep client relationships using networking, negotiation and persuasion skills to identify and sell potential new service opportunities; preparing and presenting complex written and verbal materials; and defining resource requirements, project workflow, budgets, billing and collection; and, leading teams to generate a vision, establish direction and motivate members, create an atmosphere of trust, leverage diverse views, coach staff, and encourage improvement and innovation.
Req ID: 55423BR-0
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