Compliance Manager, financial services, Scottsdale

Location: Scottsdale, AZ
In this Branch Compliance Manager position you will oversee a compliance team that oversees $20M in transactions.
 
My client is the:
·         #1 financial services company in the World 
·         A Fortune Global 10 company overall
·         A Fortune Top 10 “Most Admired company”
·         “A” ratings or better from Moody’s, Fitch, AM Best and Standard and Poor’s
·         ACE Award
·         Telly Award
·         Publicly Traded
·         Over 150 years old
  • Performs routine transactions, such as review and investigation of actions that trigger flags in various review systems.
  • Conducts annual financial advisor compliance interviews/audits, including inspection of business practices and physical location.
  • Assists in branch training, education and tracking of financial advisors.
  • Manages all required record retention.
  • Updates OBAs, U4s and utilizes WEB CRD and other FINRA systems as necessary.
QUALIFICATIONS:
  • FINRA Series 7, 24 REQUIRED
  • 3-5 years financial services 
  • Degree preferred
  • Detail oriented and organized. Able to prioritize workflow and good communication skills. 
  • 53 or 51 and 63 and 65 or 66 may be obtained within 180 days of hire
  • up to 10% travel

Locations and Positions Currently Available:
Arizona - Scottsdale (#1 out 50 US locations)
 
Compensation:
Base Salary - $80,000 doe plus bonus
OTE 90-100K first year.  
401k
Fortune 500 Benefits package
100% relocation package available 
 
this job portal is powered by CATS