Senior Compliance Specialist  – Investment – Up to $100K +Generous Bonus

This is a new role that will focus on auditing these key areas:  compliance guidelines, new account set up/funding process; account termination process and withdrawal processing.  Must be familiar with all fixed income and equity instruments and be fluent using CRD.  Must have a Bachelors’ degree in Business (MBA preferred), at least eight years relevant industry experience, knowledge of Investment Company and Investment Advisor Acts of 1940, strong computer skills (Excel, Word, etc.), analytical ability and audit experience is a plus.  Salary will depend on experience. This is a highly respected firm that offers “best in class” benefit options and supports their employees in reaching their professional goals!  Apply today.


Job Code:  16034

Please note that quoted salary ranges are not guarantees of what the final salary offers might be. Our clients base their offers on a range of variables including years of work and industry specific experience, salary history, education level, etc.