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Director of Compliance

[Others]Posted 19 days 3 hours 53 minutes ago. Viewed: 52 times.

Description

A world leader in Investment Management is currently seeking a Director of Compliance for Sales & Marketing.  Qualified individuals will have current experience with reviewing and approving marketing & sales and advertising materials for a Broker Dealer and/or an Institutional Advisory business.  Experience with Traditional and Alternative Investments and appropriate licensing (FINRA series 7 & series 24) is a must, no exceptions.  Candidates will be asked to demonstrate knowledge of these products and the rules and regulations governing advertising and marketing practices.  Past experience at a regulator is a plus.  Please make sure to highlight your CURRENT relevant experience and include a 5 year compensation history.




Industry: Financial Services
Discipline: Other Specialties
Experience: 8 - 10 Years
Level: Director
Compensation: $100K+
Company: Rockwood Search Associates

Contact information



Apply Online at TheLadders.com

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