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Job ID Number: 1257273682
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Compliance Manager |
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| Job Title: |
Director, Investment Advisory Compliance |
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| State/Location: |
California |
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| Recruiter Name: |
Michael Lane |
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| Recruiter Email: |
MLane@ComplianceSearch.com |
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| Description: |
The position is responsible for the compliance coordination and monitoring of retirement planning and investment advisory services activity, which focuses on Financial Planning, Advisory Accounts, and Tax Planning / Preparation.
The position is also responsible for compliance coordination and monitoring of the nonqualified executive benefits consulting and administration business, which has a focus on insurance and investment products, primarily Corporate Owned Life Insurance.
The candidate must demonstrate excellent judgment and the ability to work independently in a decentralized environment. The candidate will require creativity to develop solutions to sensitive compliance and organizational issues for which no current approach may exist. Excellent oral, written and presentation skills are required.
RESPONSIBILITIES WILL INCLUDE:
• Reviewing the effectiveness of current processes, and identifying potential improvements;
• Monitoring and oversight of a Registered Investment Advisor, including regular production in support of required Compliance tracking
• Monitoring and oversight of activities of highly productive insurance producers;
• Developing testing and monitoring protocols, and reporting on results;
• Referring complex problems to management and partnering in developing appropriate resolution;
• Identifying and analyzing key information from various sources in order to identify trends and concerns, and coordinating with businesses to determine appropriate actions.
Qualifications
5 to 7 years of Compliance (or other control function) experience at a mid to large size corporation.
Strong communication and interpersonal skills
Ability to coordinate complex issues among multiple individuals and organizations
Knowledge of investment advisory business
Knowledge of advanced insurance markets and product development a plus
Ability to work independently (experience in a decentralized environment)
Some domestic travel to other locations required
Experience utilizing business technology
To apply please submit your resume to Michael Lane - MLane@ComplianceSearch.com |
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