Compliance Officer – Broker-Dealer – Private Placements recruitment
ResponsibilitiesOversee all private placement compliance mattersPrepare all necessary due dilligenceMonitor employee’s U-4’s which may include dual registrationsRequirements3+ years experience working in a compliance department of a firm whose products include private placementsStrong understanding of the due dilligence requirements for private placementsPossess clean U-4 with the following licences: Series 7, Series 24, Series 63Series 79 (a plus)If you qualify please send resume to rkramer@imsrecruiting.com Read more […]
March 12, 2012
• Tags: Broker-Dealer, Compliance Officer, Private Banking, Private Placements recruitment, Wealth Management careers in the USA • Posted in: Financial • Comments Off on Compliance Officer – Broker-Dealer – Private Placements recruitment