Upvote
Downvote
Operations And Compliance Director
Share Job
- Suggest Revision
- Strategic Wealth Designers (SWD) is a full-service financial firm specializing in assisting clients near or in retirement.
- SWD values a close-knit, collaborative environment and seeks individuals who bring a positive attitude and a commitment to excellence.
- In this role, you will develop and implement compliance programs, ensuring adherence to industry regulations and best practices, manage back-office operations within the firm, optimizing policies and processes and quickly resolving issues.
- Oversee IAC/PSR approvals and FINRA U4 filings.
- Foster and manage the strategic relationship with Charles Schwab, including appointing new advisors, overseeing trading activity, and addressing high-level issues and opportunities.
Active Job
Updated 8 days agoSimilar Job
Relevance
Active