Additional Job Listings

• Location:New York
• State:NY
• Salary:$100K+
• 

Job Types:

Project/Process Mngmnt

Responsibilities: Manage projects to create programs and the related Supervisory structure for advice to ERISA plans and participants.

- Develop project plans, communicate plans and work product needs to relevant business units, secure buy-in from stakeholders, and manage timely fulfillment. Position will have primary responsibility for organizing and controlling work efforts.

- Develop and communicate long-range project plans. Communications will focus on creating support with business and risk management units.

- Design and document written supervisory procedures affecting the broker/dealer and RIA. Based on successful completion of projects, policies and procedures for the broker/dealer or RIA will need to be developed, written and put into practice.

- Prepare position papers for senior management regarding regulatory changes and future projects. Role requires excellent written communication skills, the ability to clearly communicate issues and drive appropriate resolution.
    
Required Qualifications:

• Minimum 5 years compliance experience
• Must have extensive experience with ERISA and the provision of advice to plans & participants.
• Investment advisory business background required.
• Series 7, 65/66, 24 required - life and health license preferred.
• Excellent communications skills – both verbal and written.
• Strong analytical skills required.
• Must be self-motivated and able to work independently.
• Demonstrated success in project management and creating supervisory procedures required.
• Must be able to clearly communicate a vision, develop a project plan and manage resources.

(652063)