Compliance Officer – Broker-Dealer – Private Placements recruitment
Responsibilities
- Oversee all private placement compliance matters
- Prepare all necessary due dilligence
- Monitor employee's U-4's which may include dual registrations
Requirements
- 3+ years experience working in a compliance department of a firm whose products include private placements
- Strong understanding of the due dilligence requirements for private placements
- Possess clean U-4 with the following licences: Series 7, Series 24, Series 63
- Series 79 (a plus)
If you qualify please send resume to rkramer@imsrecruiting.com
March 12, 2012
• Tags: Broker-Dealer, Compliance Officer, Private Banking, Private Placements recruitment, Wealth Management careers in the USA • Posted in: Financial