Chief Compliance Officer
San Antonio, TX US
Job Description
Chief Compliance Officer
Location: San Antonio
Why this company:
-
Take advantage of career STABILITY – over 50 years under the original founding leadership
-
Join a supportive team with high commitment to excellence
-
Opportunity to be involved with a well-known wealth management investment firm in San Antonio
Key Responsibilities:
-
Monitor and make recommendations for processes to ensure company compliance with laws and regulations
-
Develop strategic vision in support of business initiatives and protection from legal and regulatory risk
-
Collaborate with Human Resources to create effective training program to guarantee all current and future team members are well versed in compliance procedures
Qualifications:
-
Degree in Finance or related area
-
Series 14 Certification
-
Thorough knowledge of the Investment Company Act of 1940
-
Excitement for a professional, challenging environment where you can thrive
Meet Your Recruiter
Amanda Johnson | Direct: 210.807.5618 | ajohnson@deaconrecruiting.com
Amanda is a Director in Deacon's Accounting and Finance division. She has been with Deacon over 11 years and has proven success in joining partnerships together between Client and Candidate.