6 дней назад
Manager, Suitability
114 731 - 155 224$
Мэтч & Сопровод
Для мэтча с этой вакансией нужен Plus
Описание вакансии
Текст:
TL;DR
Manager, Suitability (Financial Services/Regulatory Compliance): Leading suitability supervision activities and a high-performing team while ensuring insurance, securities, and investment advisory sales practices comply with regulatory requirements. Focus on interpreting FINRA, SEC, IA, and MSRB rules, evaluating controls, responding to examinations, and mitigating regulatory, financial, and reputational risk.
Location: Remote
Salary: $114,731–$155,224 per year
Company
provides financial services focused on helping clients manage money and pursue balanced, purpose-driven lives.
What you will do
- Lead and oversee suitability review activities using consistent, risk-based regulatory and internal requirements.
- Set performance expectations, goals, and metrics aligned with Enterprise Supervision objectives.
- Evaluate suitability controls and recommend enhancements in response to regulatory changes, business evolution, and emerging risks.
- Partner with Legal, Compliance, Field Leadership, and other stakeholders on sales-practice matters and enterprise initiatives.
- Coordinate responses to regulatory inquiries, examinations, and audits.
- Recruit, develop, and lead a high-performing team while promoting accountability and operational excellence.
Requirements
- College degree or equivalent work experience.
- 10+ years of financial services and/or compliance experience.
- Extensive knowledge of FINRA, SEC, IA, and MSRB rules and regulations.
- Extensive understanding of financial products, including life insurance, annuities, mutual funds, equities, fixed income, options, margin, advisory, and alternative or complex products.
- Leadership experience in training, mentoring, and developing teammates.
- FINRA Series 4, 7, 24, 52, 53, 66, or 63/65 licenses as applicable, or the ability to obtain required licenses within 90 days.
Nice to have
- Experience with Excel, Copilot, AI, and financial services tools.
- Strong executive communication, facilitation, analytical, collaboration, and influence skills.
Culture & Benefits
- Remote work arrangement.
- Medical, dental, and vision insurance, with health savings and flexible spending accounts.
- 401(k), pension, life insurance, disability insurance, and supplemental protection benefits.
- 20 days of paid time off, sick and safe time, 10 paid company holidays, and volunteer time off.
- Paid parental leave, employee assistance, well-being benefits, and potential bonus or incentive programs.
Будьте осторожны: если работодатель просит войти в их систему, используя iCloud/Google, прислать код/пароль, запустить код/ПО, не делайте этого - это мошенники. Обязательно жмите "Пожаловаться" или пишите в поддержку. Подробнее в гайде →
Похожие вакансии
8 дней назад
Senior Legal Counsel (Financial Services)
115 000 - 120 000$
12 дней назад
Suitability Principal
69 000 - 90 500$
8 дней назад
Compliance Officer (Fintech)
100 000 - 145 000$
9 дней назад
Sr. Manager, Marketing Compliance
160 000 - 180 000$
8 дней назад
Sales Supervision Manager - Centralized Supervision Unit (Financial Services)
87 400 - 120 200$
8 дней назад