DIRECTOR OF SECURITIES COMPLIANCE
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|Status:||Inactive / Filled|
|Title:||DIRECTOR OF SECURITIES COMPLIANCE|
|Base Compensation:||$100,000 — $140,000|
|Total Compensation:||$100,000 — $140,000|
|Employment Type:||Full Time / Direct Hire|
|Job Categories:||Compliance & Legal; Finance; Wealth Management - Executive/Mid Management/Admin|
|Industries:||Banking; Financial Services; Insurance|
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 DESCRIPTIONRESPONSIBILITIES: -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: -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)
FINRA Registered Rep - Series 6; FINRA Registered Principal - Series 26
Total Years of Experience: