Compliance Principal/Supervisor recruitment
Generalist experience includes:
Supervision and Daily Trade Review; knowledge of trading turnover ratios; Advertising/Correspondence Review; Branch Examination experience; Complaint management; Risk identification; familiarity with WSP drafting and maintenance; Books and Records knowledge; and knowledge of SRO rules and regulations.
Qualifications of our ideal candidate:
- Knowledge of federal, state and SRO rules and regulations pertinent to a FINRA registered Broker/Dealer.
- Proven expertise in coordinating various comprehensive compliance functions.
- Proven and Professional leadership abilities, strong verbal, written and interpersonal communication skills at all levels in the organization.
- Strong business and compliance acumen; willingness to make business judgments and understand business risks in relation to compliance requirements.
- Ability to multi-task and meet necessary deadlines.
- Ability to analyze data, identify errors and recommend solutions.
- Ability and flexibility to travel in conducting branch examinations.
Education and/or Experience:
Bachelors degree from an accredited university; 5 to 10 years related experience or equivalent combination of education and experience.
Licenses:
Minimum of Series 24.
August 3, 2012
• Tags: Compliance Principal, Investment Consulting careers in the USA, Supervisor recruitment • Posted in: Financial