Jericho, NY
Job Code 737
Seeking an experienced Operations Manager with their Series 24 Principles license. This compliance position is for the investment group of a bank program. You will review suitability, compliance, documentation and review and approve credit. This is a fast paced compliance position with hands on credit review. You must be able to make business judgements without pressure from interested parties. The ideal candidate will interact with sales teams, provide feedback and status updates. You will also work with agents and carriers. Superior computer skills and a high level of organizational skills are required to perform this position.
This leadership role requires a minimum of 3 years of compliance operations experience. Mandatory Series 24 license. This role requires professionalism and ability to deal with confidential matters and a high degree of pressure. Base salary $60K-$80K. Robust benefits package and a great work environment. Kick-off the new year with a new compliance career!
If you are interested in applying for this position, or finding out about other positions, please e-mail us at MyNewJob08@martoconsulting.com and attach your resume and salary requirements.
Melville, NY
Job Code 736
Seeking Investment Compliance Officer in investment program or within bank industry on investment side. This candidate will draft policy, reply to customer complaints and supervise audits. You must have a Series 24. Other responsibilities will be training reviews, trade activity, suitability, fraud and exceptions reports. Expert understanding of investment sales and procedures. You must have experience responding to clients and the NASD.
This leadership role requires a minimum of 3 years of compliance investment experience. Mandatory Series 24 license. This role requires professionalism and ability to deal with confidential matters and high degree of pressure. Base salary $80K-$100K. Robust benefits package and a great work environment. Kick-off the new year with a new compliance career!
If you are interested in applying for this position, or finding out about other positions, please e-mail us at MyNewJob08@martoconsulting.com and attach your resume and salary requirements.
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