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Carrot Peelers, Sales, Personality and Your Job Search
In-House
Attorney
Corporate - General
10-15 yrs required
Corporate Compliance – Wealth Management Securities Compliance Manager – Vice President The candidate provide regulatory advice and support to supervisors and registered representatives in branch offices for firm. Strong knowledge of FINRA and SEC rules and regulations is imperative. Effectively partnering with business partners, legal, risk and operational partners to understand operational and regulatory risks in a complex environment. Proactively evaluating controls maintained by a dual broker-dealer and RIA and executing on opportunities for enhancements. Advise the business and provide compliance support for new fund and product launches. Keep abreast of industry trends and anticipate areas of focus and attention of regulators.
Qualification and Experience
A Bachelor's degree, required. A Series 7, 24, 63/66 preferred. A master's degree in business or a law degree would be a plus. Should have 10-15 years previous experience and or knowledge of general retail brokerage and investment advisory compliance. Must have strong knowledge of wealth management investment products and services, and related policies, procedures and control processes. Should have extensive knowledge of regulatory requirements and operations supporting broker-dealer and investment advisers. Must have excellent interpersonal, presentation and communication skills; ability to liaise with all levels of management. Proven track record in building good working relationships is required. Should have good knowledge of Microsoft Office products including Excel, Access, Word, PowerPoint.
Req #: 180116646
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