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Compliance ManagerNauticus Group - PennsylvaniaTitle Compliance Manager Requirements Qualified Candidates will possess: - A Bachelor?s degree in Accounting or Finance - 5+ years of related experience - Excellent Microsoft Office applications - Experience in software and database management with a professional service firm - Strong verbal and written communication skills - Proven management and leadership skills - Series 7 & Series 24 licenses a plus - Experience with SOX compliance - Experience with dealing with FINRA (rules/regs), compliance audits, creating and maintaining WSP?s and BCP plans - Experience as AML manager/officer (audit/training), compliance monitoring and reviewing/archiving (email/im?s etc.) - Experience in registrations/crd/continuing-ed,fingerprinintg Function A Financial Service Company located in Philadelphia,... See job listing >30+ days ago from Nauticus Group - Save - Block - Flag - More Tools...
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Nauticus Group
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Address:
150 Morris Ave Ste 101
Springfield, NJ 07081
Phone: 973-921-9777
http://www.nauticusgroup.com - Line of Business: Placement Agencies
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Key Numbers:
Company Type Private Company Revenue Less than $5M Company Size 10 - 100 employees
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