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JOB TITLE: Compliance Director
LOCATION: San Diego, US-CA
JOB TYPE: Direct
SALARY : $70000 - $80000
DESCRIPTION:
Compliance Director
The Compliance Director will join our client as a full-time employee in
the
Financial Advisor Compliance Services (FACS) area of our growing
Compliance
Department. Under minimal supervision, the qualified candidate will manage
the
monitoring and review of sales practice activities for their Financial
Advisors. This includes developing and enhancing firm policies and
procedures;
supervising and overseeing various brokerage sales activities including
trade
review, active account analysis, low priced securities and product
suitability.
This position requires extensive communications with financial advisors
and/or
clients, including communicating corrective measures on sales practice
issues
and recommending and implementing corrective actions with financial
advisors,
as necessary. The position also is responsible for assisting in complex ad
hoc
surveillance activities requiring systems sup****t and recommending
enhanced
surveillance tools utilized by the department. The Compliance Director
will
also manage a team of Analysts by determining workload, priorities and
problem
resolutions.
The ideal candidate will have a proven record as a manager and leader,
with a
minimum of five years management experience. Excellent mentoring and
presentation skills, compliance analytical abilities and a thorough
knowledge
of suitability and other compliance issues involved with retail activity
are
required. Must be a strong team player, detail oriented with ability to
work in
a fast-pace environment. This position requires excellent written
communication
skills, a 4-year college degree (advanced degree and/or legal experience
preferred) with a minimum of 7-years experience in the financial services
industry, preferably in Compliance. Series 7, 24 and 66 required or the
ability
to obtain within 90-days; Series 4 and 53 also desirable. This position
re****ts
to the Vice President of Compliance.
MANDATORY SKILLS:
MANDATORY EDUCATION: Bachelor
Please refer to Job#: 01307594-TE in all correspondence about this job.
TURNING POINT, INC.
Mitch Vigeveno
Apply for this Job, please click on the link below.
http://www.topechelon.com/applyjob.asp?JobID=01307594NG
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