Compliance

San Diego, North Carolina

2020-09-25

Compliance Manager – San Diego, CA 

Leader without a team? This notable financial services company is looking for a Supervisory Principal, who will be in charge of overseeing prepared statements and ensuring compliance. The ideal professional will have a strong background in mutual funds, annuities and securities along with an eagerness to learn, grow, and lead. A strong finance background and leadership will give you the edge you need to succeed in this unique role.

What you’ll do:

  • Oversee the surveillance and analysis of consolidated financial statements and reports

  • Enforce adherence to any requirements set by regulatory agencies on financial advisors

  • Proactively identify and escalate any potential compliance issues

Who you are:

  • Bachelor’s degree in Accounting, Finance or related field

  • 5+ years of securities industry experience, directly in financial services experience 

  • Series 7 and 24 required 

What to do now:

Please send your resume to Anne Oyales at aoyales@provenrecruiting.com – we'd love to hear from you! 
 

We actively support and promote people of various backgrounds, from race, religion and gender to geographical area, university, lifestyle and personality type. Proven Recruiting is minority-owned, majority women, and is a strong advocate for diversity and inclusion in the broader community. Do not hesitate to apply now!

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