Integrated Financial Partners (San Diego, CA or Waltham, MA) Seeking Compliance Professional to Join the Team
Hybrid RIA seeking compliance professional to join the team
Location: San Diego, CA or Waltham, MA
Established in 1996, IFP’s National presence represents nearly 150 financial advisors and more than 35 offices across the country. IFP primarily serves high-net-worth individuals and business owners bringing a comprehensive approach to wealth management with its roots in financial planning. Based in Waltham, MA, the firm operates its registered investment adviser under the name Integrated Wealth Concepts.
Responsible for enhancement of existing, and development of new compliance programs.
Develop effective risk and regulatory management strategies.
Oversee testing, surveillance, examinations and regulatory filings.
Connect with external auditors and regulatory agencies in addition to maintaining the firm’s CRD.
Performing supervisory review of marketing material for compliance with applicable regulations.
Reviewing, assessing and reporting policy and procedure breaches and near-misses, and coordinating, implementing and/or developing remediation
Providing insight on industry best practice on regulatory and governance matters, assisting in resolving sales practice-related issues.
Experience in monitoring and/or surveillance, whether directly or in a supervisory role.
Strong understanding of industry standards, compliance operating and regulatory requirements, such as SEC, FINRA and state financial regulators and AML program responsibilities.
Strong working knowledge of Marketing and Social Media compliance rules and responsibilities
Support the state licensing and onboarding process for all licensed persons
Excellent oral and written communication skills and the ability to interact at a senior level, both internally and externally.
Conduct employee training.
- Bachelor’s Degree Required
- 5+ years compliance experience with an investment management or financial services organization
- Series 7, 24 and 66 Licenses
- Salary commensurate with experience.
Applicants can send resumes to firstname.lastname@example.org