The Assistant Director will focus on the products, solutions and services related with the individual direct-to consumer business strategy. As the direct retail investor base grows within our organization, self-directed individual investors expect and crave information from their financial services providers on market events, investment expertise, asset allocation and asset class and sector information.
Managing such a complex enterprise requires a sophisticated administrative structure and resources which are not typically available to a standard university department or single - investigator project.
Advise senior management of deficiencies in compliance systems or violations of federal, state, or self-regulatory requirements. Resolve issues to ensure policies and procedures remain compliant between formal assessments.