Compliance & Operations Manager Job in Towson 21204, Maryland US
Our client an independent financial planning firm located in Towson, MD and affiliated with LPL Financial. They have a current opening for a Compliance Operations Manager to assist multiple advisors, as well as manage daily operations of the office. Duties will include, but not be limited to:
- Ensuring office meets compliance standards of FINRA and SEC; assisting in the maintenance of compliance files
- Reviewing and assisting in completion of paperwork for advisors
- Handling client administrative questions as they arise
- Extensive knowledge of resources available through broker/dealer website
- Supporting the OSJ in all compliance and regulatory areas and eventually becoming a Designated Principal
Requirements:
- Securities licensed with series 7, 63, 65 or 66, as well as life health insurance licensing as well are MINIMUM REQUIREMENTS.
- Securities licensed also with series 24, 31, and 51 are ideal
- Proficient in Microsoft Office, particularly Excel
- Very Detail Oriented and Organized
- Comfortable with usage of computer/internet as primary job requirement
- Excellent communication skills, both written and verbal
- Management experience is preferred, but not required
Benefits:
- Medical Insurance
- Long Term Disability Insurance
- Retirement Plan
- Paid Parking
August 8, 2009
• Tags: Compliance & Operations Manager Job in Towson 21204, Maryland Us • Posted in: General