Related skills
finra series 63/65 regulatory compliance dol series 9/10📋 Description
- Lead strategy and design of advisor transitions.
- Build a scalable, compliant, client-focused transition program.
- Partner with Compliance, Legal, Operations, Tech, and Recruiting to set standards.
- Serve as senior SME for advisor transitions and high-visibility moves.
- Design and evolve the transition operating model, tools, and disclosures.
- Identify opportunities to improve advisor and client experience via process and tech.
🎯 Requirements
- FINRA Series 7/66 or 63/65 required; Series 9/10 preferred.
- Bachelor’s degree or equivalent; 5+ years FA transitions.
- Strong knowledge of FINRA, SEC, Reg BI, DOL, and privacy.
- Design and manage transition programs and standards.
- Executive-level communication with senior leaders and advisors.
- Willingness to travel ~10-15%.
🎁 Benefits
- Medical, Dental and Vision
- Company 401(k) and ESOP
- Generous paid sick, vacation, and maternity/parental leave
- Paid holidays
- Professional Development Opportunities
- Tuition Reimbursement ($15,000 lifetime cap)
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