Investment Compliance - Investment Generalist
series 24

NYC

Job Code #672

Requirements:
Seeking Investment Compliance Officer in investment program within the bank industry. This candidate will draft policy, reply to customer complaints, and supervise audits. Other responsibilities will be training reviews, trade activity, suitability, fraud and exceptions reports. This candidate will be in daily contact with sales teams and compliance groups. Expert understanding of investment sales and procedures. You must have experience responding to and positioning responses to clients and NASD.

Kick off the New Year with a new firm where your strong work ethic will be rewarded with solid earnings in 2006!

This leadership role requires a minimum 5 - 10 years of compliance experience. Mandatory Series 24 license. This role requires professionalism and ability to deal with confidential material and high degree of pressure. Candidate will earn base salary $100K to $150K depending on experience. Ideal candidate with have expertise investment compliance background and previous bank or broker dealer experience.

Company Description:
mARTo consulting is an Executive Search firm that specializes in placing investment and compliance professionals. There is no fee to the candidate ---placement fees are paid by the company. Let us find the right opportunity for your background. We introduce you to the hiring manager, prepare you for the client meeting and walk you through the interview process. Your resume and profile are confidential. We share your details with clients only after discussing opportunities with you. We are in daily contact with our clients - so you will always hear back - with interview status. Our client is billed for our services and thus only highly qualified candidates are presented to them for review.

If you are interested in applying for this position, or finding out about other openings please e-mail us at DreamJob2006@martoconsulting.com and attach your resume.

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