New YOrk , United States
4 months ago
A global compliance advisory organization is building out their team and adding an Associate, Associate Director, and Director. The firm specializes in providing services for investment managers, hedge funds, and broker dealers.
- Create new revenue for the firm and have expertise in leading a team through an entire sales cycle
- Serve as an SME in regards to FINRA, SEC, CFTC, and NFA regulations
- Lead implementation of enterprise wide policies and procedures for clients, including compliance manuals and code of ethics plan
- Graduate Degree required
- Expertise in FINRA, SEC, CFTC, and NFA regulations