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Our client, a growing investment management firm is seeking a compliance professional to join their firm as a Supervising Principal in the Twin Cities. In this role, you will ensure compliance with industry regulations while overseeing the activities of a variety of investment professionals. This position, reporting to the Head of Compliance, is integral to maintaining high operational standards and supporting the firm's commitment to ethical practices.
Job Responsibility:
Oversee and approve day-to-day business activities, including new and existing transactions
Review and authorize forms for new accounts, service forms, and related client transactions
Assist with due diligence processes for new products and vendors
Analyze business practices to identify potential risks and trends
Collaborate with senior management to recommend updates to policies and procedures
Review and approve public communications
Serve as a resource for employees on supervision topics and industry best practices
Provide support for special projects and organizational initiatives as needed
Requirements:
Active FINRA Series 7, 63/65 or 66, and 24 registrations
Minimum 3 years of experience in compliance at a financial services firm
Strong written and verbal communication abilities
Thorough knowledge of applicable laws and regulations affecting the financial services industry
Solid understanding of products and services offered by broker dealers and clearing firms
Proven quantitative, qualitative, analytical, and problem-solving skills
What we offer:
medical, vision, dental, and life and disability insurance