A top-tier investment management and diversified financial services firm seeks a a Compliance professional. The person will be a member of the Institutional Compliance team, and serve as a subject matter expert focusing on compliance matters regarding distribution of investment advisory managed accounts and wealth management products, services and tools.  You will also monitor changes in regulations and policies and assist in the development and oversight of controls to mitigate risk.

Alternative locations include Jersey City, NJ; Smithfield, RI; and Boston, MA.

The Value You Deliver

  • Building compliance standards for investment advisory managed accounts and wealth management products and ensuring those standards supporting the products, services and tools are maintained over time
  • Providing subject matter expertise to the organization on compliance requirements for innovative platform based advice solutions
  • Leveraging your experience in the financial services industry with an emphasis on advice, planning and wealth management services
  • Creating tools and training for compliance and business representatives on requirements for advice solutions and products
  • Drafting policies and procedures, communications to the business and other leaders, including status reports, program updates and requirements

The Expertise You Have

  • 7+ years of investment advisor experience
  • 4 year college degree required, MBA preferred
  • Strong understanding of wealth planning and advice solutions and intermediary distribution frameworks
  • Strong ability to work and flourish in a matrixed/agile framework

The Skills You Bring

  • Your strong relationship management and communication skills
  • Your experience working collaboratively with firm-wide teams
  • Your ability to simultaneously identify, prioritize and address multiple issues and quickly respond to shifts in priorities
  • Your ability to influence key decision makers through a combination of knowledge, reasoning and relationships
  • Strong analytical, organizational, and problem solving skills

Please email resumes to Jack Kelly at Jack@ComplianceSearch.com

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