Georgia Licensed Compliance Manager
Job Summary
To ensure adherence to regulatory standards, the full-time Georgia Licensed Compliance Manager will perform ongoing testing and reviews of RIA policies and procedures, participate in compliance initiatives, and provide guidance on compliance risks while working remotely.
Key responsibilities
- Supervise and lead a team to achieve legal and regulatory compliance objectives
- Conduct in-depth analysis of compliance-related issues and implement necessary resolutions
- Collaborate with enterprise-wide teams to execute compliance program requirements and initiatives
Required qualifications
- Series 65 or 66, or relevant professional designation with the ability to acquire within 90 days
- Bachelor's Degree in business or related field; advanced degree or professional designations preferred
- Significant industry experience (5+ years) in financial services, insurance, or investment management
- Extensive knowledge of Registered Investment Adviser business and securities regulatory requirements
- Previous regulatory and/or compliance experience is required
Complete Job Description
The complete job description is available to members. Premium membership includes:
Full access to 43,981 remote jobs from human-vetted companies, updated daily
Resume Builder - AI-powered tool to craft, enhance, and tailor your resume to a specific job
Twice-monthly live group coaching and the full Remote Career Center
20% member discount on Career Services
Backed by a 30-day money-back guarantee
Company Company Name
Headquarters Headquarters
Founded Founded
Website
Wikipedia Wikipedia URL
BBB URL BBB URL
The company description is available to members. Go Premium for full access to every job and company profile in our remote jobs database, backed by a 30-day money-back guarantee.
