Compliance Principal
1 month ago
Compliance Principal
LHH recruitment is hiring for a compliance principal in the Palm Beach Gardens, FL area. Our client is looking for a compliance principal with their series 7 and 24 licenses. This is a great company to work in an in-office setting.
Responsibilities to include:
- New Business for Suitability and Best Interest
- Indexed and Variable Annuities (Also subsequent reviews)
- Funds & Structured Products
- Investments: REIT’s, Reg D, Internal/Closed End MF’s (Also subsequent reviews)
- EFT’s Bonds, UIT’s (Backup Suitability Review for Brokerage and Advisory that are Non-Discretion and No Models)
- Review compliance Surveillance spreadsheets and process generated from exception reports and provide red flags for review.
Qualifications
- Licenses Needed: 7, 24 required. A 63 is not required but would be a plus.
This position is a direct hire opportunity that will pay $70k-$90k depending on resume and experience. Please apply today
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