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Job ID Number: 1255541982
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Hot Jobs |
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| Job Title: |
Director of Suitability Review |
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| State/Location: |
Vermont |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Summary
The primary responsibility of the Director will be to review and sign-off on new client business to ensure suitability.
The Compliance Officer will be the first level of escalation for sign-off on all cases presented by the field.
The Director will also oversee the new business processors who are responsible for processing all direct business, as well as interact frequently with the Business Risk team.
Key Responsibilities
• Provide an objective point of escalation for new business cases in need of another level of review
• Discuss difficult cases in a constructive, but confident manner with the field
• Develop the knowledge of the Business Risk team to include a level of sales training in order to better relate to the process in the field
• Continually review, question, and enhance processes related primarily (not exclusively) to new direct business
• Enforce the firms Written Supervisory Procedures (WSP’s) with the team and the field through education and consistent reinforcement of process and expectations
Requirements
• 5-10 years of industry experience
• Bachelor’s degree in related field
• NASD Series 7, 65 or 66, 24 and 53 licenses proffered
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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