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General Counsel
Consulting
provided
exceptional
service in helping
my organization
recruit for a hard
to fill position.
They did extensive
work on the front
end to understand
our needs and
our culture and
began referring
highly qualified
candidates almost
immediately.

Melinda Burrows
Deputy General Counsel
- Litigation and
Compliance, Progress
Energy Service Company
LLC

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Counsel Jobs > Banking/Attorney/In House/Appleton, Wisconsin Job in Wisconsin > Banking/Attorney/In House/Appleton, Wisconsin

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YOUR WINDOW TO A WORLD OF OPPORTUNITIES

Banking/Attorney/In House/Appleton, Wisconsin

Refer job# OCUW88107

Compliance Manager III The candidate will manage a large staff of compliance registration professionals that support approximately 29,000 registered team members. Oversee accurate registration filings with all Federal and State regulators including the SEC, FINRA, State Securities Departments, State Mortgage Licensing Departments, and the National Futures Association. Responsible for establishing relationships with key partners, both internal and external, to further the awareness and effectiveness of registration requirements. Analyze existing processes and procedures to develop improvements for increased efficiency and compliance. Assess structure of the Registration Department to determine effectiveness and make changes as needed. Identify existing and emerging registration key risks and develop a plan to address and mitigate these risks. Interpret and understand existing registration rules and regulations to make final decisions for Registration Department. Manage multiple projects and assignments while ensuring alignment with shifting priorities. Strategic thinking and thought leadership to assess needs of the Registration Department, Financial Advisors, and WFA. The candidate should have Bachelor's degree or equivalent professional experience. Must have 8+ years in compliance, operational risk, IT systems security, business process mgmt or financial services, of which 4+ years must include direct experience in compliance or operational risk management (includes audit, legal, credit risk, market risk, or the mgmt. of a process or business with accountability for compliance or operational risk). 3+ years of management experience is needed. Must have 10+ years of Financial Services experience. Must have 5+ years of Registration Management experience. Strong brokerage knowledge and industry experience is needed. Excellent presentation, organizational, and analytical skills required. Should have strong verbal and written communication skills and the ability to effectively interact with all levels of management and staff. Should have series 7 registration or the ability to attain within 6 months. Series 24 registration is a plus, Advanced degree (MBA, JD, etc.) is preferred.

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