Lewis James Professional
Wealth Management Compliance Lead
Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Wealth Management Compliance Lead for a direct hire opportunity with a financial services client.
- Manage a team of 4 – 10 Supervisors.
- Perform escalated review of complex transactions identified by the Supervision Team.
- Electronic Correspondence/Social Media Review of direct reports and as needed in support of the department.
- Effectively communicate policy and procedure changes to the team and serve as Subject Matter Expert for policy changes.
- Assist with focused Book of Business reviews conducted by partners within the firm.
- Review Reg BI advisor documentation per current policies and procedures to ensure compliance with regulation.
- Serve as primary escalation point of contact for Principal Managers and Business Partners with regard to Supervisory activities.
- Participate in meetings and calls, representing the Supervision Team when discussing Policies, Products, Systems, and other items that impact the department and our processes.
- Serve as Supervision representative on firm initiatives.
- Experience in FINRA Series 7, 24, 53 and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66) Life/Health and Variable Insurance Licensing.
- 7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
- Must have exceptional industry disciplinary history.
- Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
- Solid decision-making and judgment capabilities. Sound investigative skills and ability to follow up and manage cases.
- Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
- Strong organizational skills and the ability to multi-task.
- Strong understanding of Human Resources.
- Strong team building skills.
- Bachelor’s degree in Finance or Business.
- Minimum 2 years of regulatory experience FINRA Series 4 license.
For immediate consideration, please click “Apply” and use Job Code BHJOB11837_2685. You may also send a copy of your resume to: email@example.com and enter only the following job code in the subject line: BHJOB11837_2685. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V