Director-Institutional Compliance

Highly reputable financial services company seeks a Director of Institutional Compliance to assist in all aspects of the broker-dealer and the investment advisor comprehensive compliance programs.  Resolve compliance and risk management matters, work with client relationship mangers and account executives, serve as the primary liaison with the US Institutional business to provide guidance to others, respond to regulatory inquiries and much more.  Qualified candidates will have a Bachelor’s degree, 5+ years experience working in the regulatory oversight group of a mutual fund complex or in a comparable position and a NASD Series 7, Series 24 and Series 66 licenses.  Strong detail orientation. Superb interpersonal skills  and the ability to manage complex projects are required.  Position offers bonus potential!  Submit your resume for immediate consideration. 

 

Please note:

-  If you do not currently reside in the area, please indicate when you will be living in the area permanently.  These are immediate openings.

-  If possible, resumes should be emailed as a Microsoft Word attachment.

-  Our client companies pay all placement fees.  Candidates do not pay a fee for service.