What are the responsibilities and job description for the Senior Compliance Executive position at Confidential?
Senior Compliance Executive
About the Company
Join a well-established independent financial planning and investment advisory firm renowned for its commitment to excellence in the Financial Services industry.
Position Overview
The firm is seeking a Senior Compliance Executive to become a vital leader in our team. In this integral role, you will manage all regulatory compliance matters and execute the firm's comprehensive compliance program. This is a hands-on position where you will provide essential leadership, management, and vision to ensure adherence to compliance protocols while establishing robust operational controls and procedures that support our growth trajectory.
Key Qualifications
- A minimum of 10 years of compliance experience within Registered Investment Advisors (RIA).
- Bachelor's degree required; advanced degree preferred.
- In-depth knowledge of SEC rules and regulations essential.
- Familiarity with Finra and ERISA rules.
- Outstanding management, writing, communication, and technology skills.
Key Responsibilities
An active and valid Series 24, 7, 4, 53, and 66 is highly preferred. We are looking for a professional who embodies accountability and leadership in all compliance functions.
Hiring Manager Title
President
Travel Requirement
Less than 10%
Functions
