Job is Expired
Location: Minnesota, Wisconsin
Compensation: To Be Discussed
Staff Reviewed: Sat, Feb 06, 2021
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
