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JOB DESCRIPTION
Job #: 15361
Status: Inactive / Filled
Title: DIRECTOR OF SECURITIES COMPLIANCE
Job Location: Nebraska
Lower Midwest (IL, IN, IA, KS, KY, MO, NE & OH)
Job Categories: Compliance & Legal; Finance; Wealth Management - Executive/Mid Management/Admin
Industries: Banking; Financial Services; Insurance
Base Compensation:
Low: $100,000       High: $140,000
Total Compensation:
Low: $100,000       High: $140,000
Bonus, Incentives, etc.: 15% Bonus
Is Employer Willing to Relocate?: ?
Employment Type: Full Time / Direct Hire
 
Why is This a Great Opportunity?
Our reputable, family-oriented client is looking for a Director of Securities Compliance. With a knowledgeable, trustworthy, and caring atmosphere, this leadership role would be an opportunity to contribute to this organization's dedication to customer service and overall mission in the securities industry.
 
Job Description:
RESPONSIBILITIES: -Direct, manage, and oversee the securities compliance program -Identify potential compliance vulnerability and risk in the securities industry -Acts as a liaison with business partners, law, and regulatory bodies on compliance related issues -Key player in strategic and short / long term planning sessions
 
QUALIFICATIONS
Mandatory Minimum Qualifications - Must Have: QUALIFICATIONS: -Minimum of 7 years management experience in securities compliance industry -Must have at least 5 years experience in a leadership role while interpreting state and federal laws in the securities industry -FINRA registration 6 & 26 are required -General Securities Principal (7 and 24), Options Principal (4), Municipal Securities Principal (53), and Investment Advisor Rep (66) are highly preferred for candidates. (If candidates do not have 7, 24, 4, 53, & 66 licenses, they will need to be completed within the 1st year of employment)
 
Education: Bachelor's
 
Certifications: None
 
Licenses: FINRA Registered Rep - Series 6; FINRA Registered Principal - Series 26
 
Total Years of Experience: 7-8+
 
First Name:
Last Name:
E-mail Address:

 

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