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Job ID Number: 1259779731
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Asset Management/Invest Advisory |
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| Job Title: |
Director Investment Advisory Compliance |
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| State/Location: |
Southern 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 investment advisory services and retirement planning and activity, which focuses on Financial Planning, Advisory Accounts, and Tax Planning / Preparation.
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.
Will report to the Vice President, Compliance.
JOB REQUIREMENTS
5 to 7 years of Compliance (or other control function) experience at a mid to large size corporation.
Knowledge of investment advisory business required
Strong communication and interpersonal skills
Ability to coordinate complex issues among multiple individuals and organizations
Knowledge of advanced insurance markets and product development
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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