Compliance Manager with FINRA Licenses

Job Summary

A company is looking for a Compliance Manager to provide compliance leadership across various responsibilities within a compliance program.

Key Responsibilities

• Manage direct reports focused on operational, IT, and advisory compliance
• Oversee the Conflicts of Interest program and coordinate related meetings
• Act as the primary compliance contact for regulatory inquiries and support the AML program

Required Qualifications

• Bachelor's Degree or equivalent experience
• Five to seven years of relevant experience in compliance management or related fields
• Required FINRA registrations (S7/S24)
• Strong knowledge of annuity products, securities, and investment advisory products
• Ability to provide strategic leadership and make independent, risk-based decisions