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Broker - Dealer Compliance Manager
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$80,000 - $95,000
- I'm recruiting for a growing financial services firm who is looking to hire a full-time Broker-Dealer Compliance Manager to work out of their Bountiful, UT office (just outside of Salt Lake City, UT).
- This role requires a deep understanding of broker-dealer compliance regulations, excellent leadership skills, and the ability to effectively train and guide team members.
- New Business Review Supervision: Oversee the review process for new variable annuity, direct mutual fund, and all other Broker-Dealer business, ensuring they meet all compliance and regulatory standards before implementation.
- Existing Business Review Supervision: Conduct regular reviews of existing variable annuity, direct mutual fund, and all other Broker-Dealer business, ensure ongoing compliance and identify areas for improvement.
- Required licensing: Series 9/10 or 24 (Required, Series 24 Preferred.)
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