Compliance VP, Investment Products | Egypt Lake-Leto, FL, USA | Remote
A leading financial services firm is looking for you to join it's team as their next Compliance VP, Investment Products! This is an exciting time to join the business and own the compliance investment products program while being located in beautiful Tampa, FL. If you are looking to advance in your career and take on a brand new challenge, apply into the Compliance VP, Investment Products!
The Compliance VP, Investment Products will be responsible for:
Ā Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm's risk exposure while balancing business concerns.
Ā Knowledge of the rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
Ā Recommends compliance solutions for the firm while fostering positive business relationships with department associates and branch associates/affiliates.
Ā Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, and investigations.
Ā May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.
Ā May oversee compliance exception reporting processes and take appropriate action, as required.
The Compliance VP, Investment Products should have the following qualifications:
Ā Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
Ā Minimum five (5) years management experience within the financial services industry.
Ā Work independently as well as collaboratively within a team environment to resolve problem.
If this sounds like what you are looking for in the next step of your career, don't wait to apply into this fast moving Compliance VP, Investment Products opportunity!
Apply Now
The Compliance VP, Investment Products will be responsible for:
Ā Develops and maintains compliance programs, systems, policies, and procedures to ensure compliance with federal, state, and self-regulatory regulations. Minimizes the firm's risk exposure while balancing business concerns.
Ā Knowledge of the rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
Ā Recommends compliance solutions for the firm while fostering positive business relationships with department associates and branch associates/affiliates.
Ā Serves as the primary liaison between the organization and industry regulators by responding to inquiries, audits, and investigations.
Ā May serve as a liaison between the organization and industry committees such as SIA, FSI, and the FINRA.
Ā May oversee compliance exception reporting processes and take appropriate action, as required.
The Compliance VP, Investment Products should have the following qualifications:
Ā Bachelor's Degree (B.A./B.S.) in a related discipline required with a Master's degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.
Ā Minimum five (5) years management experience within the financial services industry.
Ā Work independently as well as collaboratively within a team environment to resolve problem.
If this sounds like what you are looking for in the next step of your career, don't wait to apply into this fast moving Compliance VP, Investment Products opportunity!
Apply Now