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If you want to be a part of a company that is a leader in the financial services industry, has a long tradition of commitment to its customers, and where your work is valued, our client could be the company for you. They presently offer an opportunity to join their compliance department. As the Assistant Director of Broker/Dealer Compliance you will develop and oversee compliance standards and procedures for BU employees and producers to ensure operations meet legal and regulatory requirements. Maintain corporate commitment to ethics and provide excellent service to clients. To be considered, you must offer your Juris Doctor plus 6 to 8 years relevant work experience. Your NASD Series 7, 24 required, 63 and 65/66 preferred. Must be able to understand often technically complex federal and/or state laws governing broker/dealer customer securities accounts and mutual fund shareholder account transactions and activities in addition to specific business unit and company product knowledge. Must have excellent organizational, analytical/problem solving, presentation, written and oral communication skills. Must have basic PC skills with the ability to maintain a high degree of accuracy and pay strict attention to detail. Must be able to maintain a high degree of confidentiality. Some travel required. Contact Scot Dickerson for additional details and confidential consideration. If you would like to submit your resume for this job, please click HERE and attach your resume as a Microsoft Word document.
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