• Job Description

  Req#: COMPL001916
  Employer Industry: Financial Services Corporation
  
  Why consider this job opportunity:
  - Competitive Total Rewards package, including a 401(k) Plan with matching contributions
  - Varied incentive plans available
  - Flexible/Hybrid work schedules to support work-life balance
  - Wellness programs and tuition reimbursement to promote personal development
  - Opportunities for professional and career development courses and mentoring programs
  - Commitment to diversity and inclusion in the workplace
  
  What to Expect (Job Responsibilities):
  - Conduct compliance reviews for regulated entities to evaluate and test compliance with applicable rules, regulations, policies, and procedures, providing written reports of findings
  - Assist with developing and maintaining internal compliance functions, including reviewing and approving firm communications
  - Assist with ongoing regulatory filings to ensure adherence to requirements
  - Stay informed about regulatory developments and their impact on the business and communications
  - Provide compliance guidance to business partners regarding advertising rules and regulations
  
  What is Required (Qualifications):
  - BA/BS degree or equivalent experience
  - Minimum of 2 years of experience in compliance and related roles with an investment adviser, broker-dealer, or other financial services company
  - Series 7 and 24 FINRA licenses required
  - Knowledge of Federal Securities Laws governing securities, broker-dealers, and investment advisers
  - Strong written and verbal communication skills
  
  How to Stand Out (Preferred Qualifications):
  - Results-oriented with the ability to work independently and make sound decisions based on available information
  - Capable of working effectively with all levels of staff and developing collaborative relationships
  - Strong computer skills and ability to work with multiple applications
  - Knowledge of rules of self-regulatory agencies governing broker/dealers
  
  #FinancialServices #Compliance #CareerOpportunity #FlexibleWork #DiversityAndInclusion
  
  We prioritize candidate privacy and champion equal-opportunity employment. Central to our mission is our partnership with companies that share this commitment. We aim to foster a fair, transparent, and secure hiring environment for all. If you encounter any employer not adhering to these principles, please bring it to our attention immediately.
  We are not the EOR (Employer of Record) for this position. Our role in this specific opportunity is to connect outstanding candidates with a top-tier employer.

• About the company

  ICMA-RC manages and administers 457 and 401 retirement plans exclusively for the benefit of public sector employers and employees. |

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