Assistant Vice President Compliance

Company: Regional Recreation Corporation of Wood Buffalo
Location: Fairfield
Posted on: February 17, 2021

Job Description:

Assistant Vice President Compliance in Fairfield, Iowa - Careers at Fairfield Main Campus Skip to Main Content Please Enable Cookies to Continue Please enable cookies in your browser to experience all the personalized features of this site, including the ability to apply for a job. Welcome page Welcome page Returning Candidate? Log back in! Assistant Vice President Compliance Job Locations US-IA-Fairfield ID 2021-1328 Category Compliance/Legal Type Full-Time Telecommute No Overview Cambridge Investment Research Inc., one of the nation's top independent broker-dealers, is actively looking for a person who has a passion for driving overall department effectiveness to join the Compliance Department for a full time Assistant Vice President (AVP) of Compliance. The AVP works under the direction of senior management.At Cambridge, our purpose is to make a difference in the lives of our financial professionals, their investing clients, and our associates. Our values of integrity, commitment, flexibility, and kindness continue to guide us in the decisions we make together every day. For 39 years we've delivered innovative financial solutions while offering exciting career opportunities with ongoing professional development.A national leader as a financial solutions firm, Cambridge's commitment to long-term professional development in a unique small-town community makes this a one-of-a-kind opportunity. Cambridge has been honored 10 times by our associates as a 'Top Workplace in Iowa', and 13 times as 'Broker-dealer of the Year' by our financial professionals through Investment Advisor magazine. We are recognized among the leading firms in the financial advice industry as we serve over 3,700 independent financial professionals and hundreds of thousands of their investing clients across the country.--Job Summary:The Assistant Vice President works under the direction of Senior Management and oversees the function of one or more areas. Essential Duties

• Drive overall department effectiveness by directing the operation of one or more functional areas
• Develop and implement strategic initiatives regarding company and departmental policies and procedures in order to improve service standards for internal and external customers
• Maintain an understanding of company revenue and profitability targets and firm level goals
• Direct and monitor the budgetary process for appropriate area(s)
• Ensure maintenance of accurate records and document actions for area(s) managed
• Interface internally and externally in a professional and courteous manner to achieve the Company's common goals and ensure communication of those goals and statuses to all necessary parties Education & Experience Bachelor's degree from four-year college or university; or seven or more years related experience and/or training; or equivalent combination of education and experience. Certificates & Licenses Financial Industry Regulatory Authority (FINRA) Series 7 is required. Other licenses or certificates are required as dictated by the department. Options Apply for this job online Apply Share Email this job to a friend Refer Sorry the Share function is not working properly at this moment. Please refresh the page and try again later. Share on your newsfeed Loading... Application FAQs

Keywords: Regional Recreation Corporation of Wood Buffalo, Fairfield , Assistant Vice President Compliance, Executive , Fairfield, California