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 filesReviewing and assisting in completion of paperwork for advisorsHandling client administrative questions as they ariseExtensive knowledge of resources available through broker/dealer websiteSupporting Read more […]

August 8, 2009 • Tags: , • Posted in: General • Comments Off on Compliance & Operations Manager Job in Towson 21204, Maryland US