Telecommute Compliance Manager

Job is Expired

Location: Arizona, California, Massachusetts, Utah

Compensation: To Be Discussed

Staff Reviewed: Fri, Dec 03, 2021

Job Category: Quality Assurance

Remote Level: 100% Remote

Weekly Hours: Full Time

Employer Type: Employer

Career Level: Experienced

Education Level: Bachelors

Job Summary

A banking and asset management company is seeking a Telecommute Compliance Manager.

Individual must be able to fulfill the following responsibilities:

  • Work closely with the Compliance Team and internal stakeholders and partner groups to ensure their compliance programs are active and all tasks are being completed
  • Administer all Code of Ethics requirements and review electronic and hard copy communications
  • Manage all Registered Persons, Access Persons and Non-Registered Fingerprint persons

Required Skills:

  • Minimum of three (3) years of experience in regulatory compliance, operational risk or risk management
  • FINRA SIE, Series 7, Series 63, 65 or S66 combo
  • Experience supporting Corporate Operations from a Risk or Compliance perspective
  • Experience helping an organization manage through high levels of regulatory and organizational change
  • Ability to actively manage and conduct on-boarding of new registered persons
  • Ability to manage annual regulatory requirements for registered persons

COMPLETE JOB DESCRIPTION

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