Compliance Manager for Financial Products and Advisory Services - (US-VA-Richmond)

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From Jeff Altman: The Big Game Hunter

Compliance Manager for Financial Products and Advisory Services - (US-VA-Richmond)

Compensation: $90K - $130K / Year
Min Education: Bachelors
Job Type: Full Time
Jobcode: 165286WJA

Experience Required : 5 - 10 years
Degree Required : 4 Year Degree
Travel Required : Upto 25 %
PAID RELOCATION AVAILABLE
As a senior member of the firm's Compliance Department, the Compliance Manager for Financial Products and Advisory Services will be responsible for managing the compliance functions supporting all products and fee based programs. The major areas of responsibility include all wrap and advisory programs, annuities, alternative investments, insurance, mutual funds, and Envision. The Manager will support and lead key firm-wide and regulatory initiatives. In addition, the Manager will be responsible for managing and developing a team of professionals who provide support to our business partners. The team will develop strategies to enhance the control environment and ensure compliance with industry regulations and best practices concerning the offering of products and services to our clients. It is also expected that the team will identify opportunities for improvements and independently develop solutions to business challenges. The Manager will also be responsible for following industry trends and regulations and communicating/resolving these issues with the business units. The Manager will be responsible for hiring, firing, training, budgeting, and the overall quality of work delivered by the team. The position reports to the Director of Compliance for Financial Services and Regulatory Affairs.

Candidate Must Have :
* To be qualified for the Compliance Manager position, one must meet the following requirements: Minimum of 7 years of securities compliance experience;
* minimum of 5 years of management experience; proven knowledge of securities regulations with particular focus on the Adviser's Act; Series 7, 24,63 and 65;
* advanced negotiation and influencing abilities with effective written and verbal communication skills; BS in Business or related field. A preferred candidate will also have a JD or MBA.

Email resume in Word to jeffaltman@cisny.com. Please include the job code for the position with your resume.

NO VISA TRANSFERS. NO OVERSEAS RESUMES. NO 3RD PARTIES.

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Jeff Altman, The Big Game Hunter
Concepts In Staffing
9 East 37 Street
New York, NY 10016