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