Job Summary

A financial services company needs applicants for an opening for a Remote Registered Investment Advisor Compliance Manager in Duluth.

Must be able to:

• Provide regulatory oversight, risk management, and policy implementation
• Manage and provide support to RIA compliance staff
• Provide direction and guidance to firm personnel and field associates on investment advisory compliance issues

Qualifications Include:

• Bachelor’s degree in business, finance, marketing, pre-law or other relevant field
• Five years of investment advisory compliance experience
• Strong working knowledge of the Advisers Act, SEC rules and regulations
• Series 65/66, 6 and 26 (or 7 and 24) registrations required