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COMPLIANCE AND OPERATIONS MANAGER
| Details |
Country: USA
Location: CA San Diego
Total applied: 41
Relevant Work Experience: 5+ to 7 Years
Career Level: Manager (Manager/Supervisor of Staff)
Education Level: Bachelor's Degree
Job Type: Employee
Job Status: Full Time
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COMPLIANCE AND OPERATIONS MANAGER
COMPLIANCE AND OPERATIONS MANAGER
As an associated firm of Bank of New York and a leader in Retirement Planning we are in search for a Compliance and Operations Manager.
Job Responsibilities:
* Reviewing advertising/marketing material for compliance with NASD, SEC and other regulatory agencies.
* Assure adherence to securities regulations and company policies for employees and clients.
* Assist Managing Partners with creating/updating policies and procedures and participate in special projects.
* Assist a $1.5 million producer with the compliance aspects of his practice.
Requirements for Consideration:
* A Bachelor's degree and/or five years securities industry experience.
* Series 7 or Series 6 and Series 63. Must obtain a Series 24 or Series 27.
* Strong understanding of SEC, NASD and State rules, regulations and guidelines.
* A working knowledge of Mutual Funds, operations and securities.
* Some sales experience desired.
* Client/Customer service preferred.
Compensation Levels:
* With Series 27 (FinOp) up to $100,000.00 (depending on experience)
* With Series 24 up to $60,000.00 (depending on experience)
* With out Series 24 up to $50,000.00 (depending on experience)
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