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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Litigation - Whistleblower - CFTC
Trusts and Estates
Min 12 yrs required
General Counsel Consulting (GCC) is the only professional firm that works full time to find openings and make placements for General Counsel and in-house counsel. By working only for in-house counsel over the years, we have developed exclusive resources for advancing your legal career. Compliance Manager VI The candidate will be responsible for managing the development, implementation and monitoring of a risk-based compliance program for WBR Brokerage to ensure compliance with federal, state, legal and regulatory requirements with respect to the core compliance operations of WBR - Brokerage Compliance, supporting all channels, including the Private Client Group, Wealth Brokerage Services, firm Advisors Financial Network and First Clearing Correspondent Services. Will interact with senior leaders from all areas of the firm and report to the Group Chief Compliance Officer for Wealth Brokerage and Retirement. The candidate should have a Bachelor's degree. An advanced degree (MBA and/or J.D.) is preferred. Series 7, 9/10, and 24 licenses are required, or the ability to obtain within six months. Must have 12+ years of experience in compliance, operational risk, IT systems security, business process management or financial services, of which 6+ years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the management of a process or business with accountability for compliance or operational risk). Should have 10+ years of management experience. Prior experience of dealing directly with various regulators/internal auditors needed. Broad-based knowledge of securities-related activities with strong ability to quickly grasp and identify issues and their applicability to a wide range of businesses, (including products, operations, and systems as appropriate), as well as within a larger brokerage and bank holding company structure essential. Deadline: 09/29/2014
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