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Operations Compliance Officer
The candidate will manage a staff of Compliance Managers/Directors and professionals at one or more division offices to ensure that the division is in compliance with all Federal and State requirements, including insurance and/or securities laws where applicable, regulations and the rules of self-regulatory and industry ethical standards organizations and Company/Division Compliance Policies. Will perform regular assessments to ensure that the... read more
The candidate should have 5+ years of experience. Would possess outstanding academic credentials and work experience; would have a strong work ethic; and would have developed a base of business. Will be involved in the firm’s corporate/transactional matters, especially with respect to company’s clients located or doing business in eastern Iowa.