Jobs in All Categories (14) Accounting & Finance (1) Human Resources & Legal (5) Operations & General Management (2) Project Management (2) Technology (4)
Experience in designing, developing or configuring enterprise applications in the Risk/Compliance domain, sales performance management or incentive compensation management.
Support the implementation of both process improvements and development standard to optimize data quality and system use.
Help advisors set realistic, obtainable business goals and devise strategies to help them successfully execute against goals.
Draft and maintain policies and procedures to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure that advisors' operations are conducted in compliance with applicable policies and procedures.
Ensure traceability of business requirements to technical specifications; ensure any changes in initial scope or post-design to get proper architecture and design assessment.
Interfacing with outside counsel and in-house Legal, Compliance and business partners to address issues or evaluate new business opportunities.
Develop leads and build relationships with prospective Financial Advisors through professional yet persistent, ongoing contact.
Manages subordinate staff to include recruiting, training, performance and compensation management, motivating, delegating and monitoring results.
Work with development teams on development processes (SDLC, Agile, DevOps, etc) to ensure cohesive integration of security practices.
Provide customer satisfaction to both internal and external customers and strive to continuously improve service delivery.
Manage litigation docket to efficiently resolve cases and update the broker-dealer management team regarding the status of pending matters.
Ensure that processing delivery meets or exceeds stated service level agreements, provides a strong service experience for our customers and is in compliance with all company and regulatory requirements.
Partner with organizational leaders, across multiple matrix structures, to establish and implement a learning strategy with a particular focus on technology rollouts.
Manage litigation docket to efficiently resolve cases and update the broker-dealer management team regarding the status of pending matters