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New Opportunity - Compliance Director
Location:
Scottsdale, AZ
Description:
Company Overview: Our Company takes a strategic approach to building and protecting our clients' wealth and prosperity through customized solutions, financial education, personal attention and honest communication. We provide financial services on a fee-only basis, acting as a fiduciary for our clients. Each member of our team fully embraces the importance of this role and what it means for our clients. The decisions we make and the advice we provide are always in our client's best interest. Our disciplined and objective investment and financial planning process provides trust and the peace of mind which is so highly valued. Primary Responsibilities: Seeking a full-time Director to oversee the Firm's Compliance department. Responsibilities: Provide leadership, strategic direction and oversight of the Compliance function Drive a culture of compliance throughout the business Develop and implement organizational policies and procedures Monitor and review activities of business and support organization to ensure compliance with internal policies and external laws and regulations. Act as a primary interface with regulators on Compliance matters Establish and maintain strong working relationships as needed Identify, facilitate, and/or implement changes to policies and procedures in response to changes in laws and regulations effecting the financial services and insurance industry. Monitor compliance issues to resolution including issue identification, resolution plan determination and final resolution Review, amend, and approve any and all marketing mediums which include websites, radio and television advertisements, print and mailers Requirements: Bachelor's degree required in finance or related field; 7 to 10+ years of experience with regulatory compliance authority in financial markets and or regulatory experience required, including experience in auditing, former SEC, legal and regulatory compliance. Knowledge of registered products a plus. High level problem-solving skills are required; problems are technically complex and require the collection, interpretation, and analysis of data from diverse sources Strong ability to quickly implement strategy and establish previously used systems Strong business acumen. Exceptional problem solving, decision making and analytical skills. Ability to excel in a fast-paced organization Excellent written and verbal communication skills Excellent computer skills including Microsoft Office - Word, Excel and PowerPoint Experience utilizing or ability to quickly learn - TD Ameritrade, Raymond James, and Salesforce. Compensation Package: Competitive Salary 401K with matching component United Healthcare PPO Medical - employee portion paid for by the Company Delta Dental and UHC Vision Life Insurance, Short-Term and Long-Term Disability options available and much more Generous holidays and PTO Come and join a team that is making a difference in their clients' and employees' lives!
Company:
Trajan Wealth
Posted:
December 26 2023 on ApplicantPro
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More About this Listing: New Opportunity - Compliance Director
New Opportunity - Compliance Director is a Executive Director Job at Trajan Wealth located in Scottsdale AZ. Find other listings like New Opportunity - Compliance Director by searching Oodle for Executive Director Jobs.
New Opportunity - Compliance Director is a Executive Director Job at Trajan Wealth located in Scottsdale AZ. Find other listings like New Opportunity - Compliance Director by searching Oodle for Executive Director Jobs.