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Commercial Broker Dealer Compliance Advisor
2 months ago
Job Description:
- Senior Manager position in Compliance Advisory for Commercial Broker Dealer
- Support three institutional broker dealers
- Manage team of associates to ensure compliance with federal and state laws
- Keep abreast of financial industry regulations
- Provide guidance on compliance risks and support lines of business
- Assist in designing compliance monitoring and testing
- Help maintain firm's books and records
- Promote a culture of compliance and managed risk taking
- Travel to various locations as required
Qualifications:
- Bachelor's Degree or military experience
- 7+ years of experience in compliance, legal, audit, operations, or finance within financial services
- FINRA licensed with valid Series 7 or 79
- Master's Degree or Juris Doctor preferred
- 8+ years of experience in compliance, legal, audit, operations, or finance within financial services preferred
- 4+ years of people management experience preferred
- Series 24 or 9/10 preferred
Additional Information:
- Competitive annual salary based on location
- Performance-based incentive compensation
- Comprehensive benefits package
- Equal opportunity employer committed to diversity and inclusion
- Drug-free workplace policy
- Consideration for applicants with criminal history in line with applicable laws