Rapidly growing independent wealth management firm seeks Operations Manager to help facilitate transition to broker/dealer and RIA. Prior experience with broker/dealer and RIA a must including comprehensive understanding of compliance, investment concepts, and practices and procedures used in the securities industry. Candidate must be able to work independently and also part of a team in a fast paced environment with accuracy and under tight time constraints. Candidate should have the experience and professionalism to communicate effectively with high net worth clients.
Required Knowledge and Skills
Series 24, 7 and 63 licenses are required.
8+ years of relevant business experience in the financial service industry.
Previous experience with establishing a Broker Dealer.
Competitive compensation package with full benefits including 401(k) and profit sharing. An AA/EOE employer M/F/D/V.
Job Type: Full-time
Experience:
- Compliance: 5 years (Preferred)
Education:
Location:
- Charlotte, NC (Preferred)
License:
- series 24,7 and 63 (Preferred)