Telecommute Compliance LIC Manager

Location: Minnesota, Wisconsin

Compensation: To Be Discussed

Staff Reviewed: Fri, Jan 08, 2021

This job expires in: 21 days

Job Category: Quality Assurance

Remote Level: Partially Remote

Weekly Hours: Full Time

Employment Status: Independent Contractor

Employer Type: Employer

Career Level: Experienced

Education Level: Bachelors

Job Summary

A non-profit financial services organization has an open position for a Remote Compliance LIC Manager.

Candidates will be responsible for the following:

  • Providing work direction to BD/IA Compliance staff
  • Building and maintaining a high-performing team; selecting, developing, coaching, rewarding and recognizing team members
  • Implementing the annual internal audit and compliance review and/or RFO/OSJ Compliance inspection in coordination with Enterprise Supervision

Qualifications Include:

  • Ability to travel up to 20 – 30% of the time
  • Bachelor’s Degree or equivalent experience
  • FINRA Series 7, 24, 53, 63/65 or 66 or obtained within 90 days of hire/transfer
  • Demonstrated understanding of the financial services and securities regulatory requirements
  • Industry experience related to financial services, insurance, securities and/or investment management
  • Experience (3 plus years) in leading people

COMPLETE JOB DESCRIPTION

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