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Regional Principal, Vice President - Investment Services (899-6)
Glendale or San Francisco, CA
Ensure adherence to company policy and securities regulations by reviewing
various compliance exception and monitoring reports to include: suitability
reviews, mutual fund breakpoint and share class review, trend analysis,
mark-up/mark-down, and annuity sales practice reviews. Escalate concerns and
findings and coordinate follow-up with the Brokerage Operations Manager,
Compliance, and/or sales personnel, as appropriate. Review transaction
activity for compliance with Bank Secrecy Act & Anti-Money Laundering
regulatory requirements. Interface with sales management and registered
representatives regarding sales practice reviews and supervisory issues.
Monitor written and electronic communications by registered representatives
and associated persons in the region to ensure compliance with Firm and
Regulatory guidelines. Review principal approve advertising, marketing,
sales literature, contests and other similar items ensuring adherence to
Regulatory and Firm guidelines.
Assume delegated responsibility for compliance and supervisory related
projects including but not limited to annual OSJ Compliance exam, branch
office reviews, investigate both sales practice and non-sales practice
verbal and written customer complaints and/or Compliance investigations,
review of rep non-cash compensation logs, monitoring associated persons
outside brokerage and outside business activity and annual written
supervisory policy (WSP) testing.
Provide compliance and sales practice training to the field as needed.
Assist in addressing and monitoring disciplinary actions and letters of
probation as they pertain to policy and procedure violations and/or
production issues. Responsible for processing the reassignment of reps at a
branch level and with various annuity/insurance companies. Facilitate
employment termination process including back office notification and
Responsible for performing all assigned functions in accordance rules and
regulations, and/or policies and procedures, established by us and other
Demonstrate collaboration and the ability to communicate effectively with
co-workers, clients and prospects
Excellent written and verbal communication skills
Requires a high level of knowledge with investment services, products,
practices, and general market trends
Well-developed analytical and project management skills, highly organized
with the ability to handle multiple tasks and multiple priorities
Ability to conduct presentations
Proficiency in various PC applications, preferably MS Office
Bachelor's degree preferred
5+ years of business experience and/or proven success in a previous related
Minimum 3+ years of broker-dealer regulatory and/or compliance experience
must maintain a FINRA Series 7, Series 24, Series 63/66 and insurance
Must have securities and insurance product knowledge and knowledge of
securities and insurance rules and regulations, including FINRA, SEC, MSRB
Ability to travel up to 10%
Alternative Investments // Asset Management // Banking // Broker Dealer // Compliance and Legal