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The salary on offer is at the top of the market range
Position Type:
Employee
Employment type:
Full time
Updated:
02 Jul 2008
eFC Ref no:
417852
Our client requires a Manager of Broker Dealer Compliance, with primary focus on the review of Sales and Marketing materials.
The position, reporting to the Chief Compliance Officer, is responsible for oversight of the Broker Dealer and Investment Adviser compliance program. The position requires a primary focus on the review of sales and marketing materials in order to ensure business services are consistent with SEC/FINRA rules and regulations.
The primary responsibilities of the role include providing support to the Broker Dealer and Investment Adviser Advertising and Sales Literature review program to ensure proper compliance. Additionally, the candidate will collaborate efforts of the compliance, risk, and legal teams in order to recommend and implement solutions. The candidtate will assist with the streamlining of current compliance policies and procedures, while reducing the liklihood of compliance issues.
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