| Chronos Consulting |
| Banks and Financial Svcs. |
| May consider sponsorship for work authorization for Uruguay |
| Direct Hire, Full-Time |
|
****** |
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| Relocation assistance provided |
Banking/Brokerage
Finance
Retail
|
| Up to 25% |
| from anywhere |
|
English - Fluent
Spanish - Native
Portuguese - Studied
|
| Masters Degree |
| 5 |
English
Spanish
|
| No cover letter requested |
|
No questions which require answers when applying for this job posting. |
| CM MDEO / Latpro-1824682 |
| Oct-30-2009 |
| Uruguay, Zip not provided |
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Description |
The Complex Compliance Manager is responsible for:
(1)Performing all daily, weekly, monthly, and quarterly compliance reviews for all branches within the complex and reporting the findings to the Complex Manager on a monthly basis.
(2)This individual works with the Complex Operations Managers to ensure that branch operational procedures fulfill both compliance and operational requirements.
(3) The Complex Compliance Manager performs routine regulatory, compliance, and operational reviews as delegated by the Complex Manager. For example, new account forms, daily order reviews, etc.
(4)The Complex Compliance Manager brings any deficiencies or concerns to the Complex Managers attention immediately.
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Requirements |
5 years minimum in charge of compliance in a full service retail brokerage branch with Latin American Business
Series 7, 9, 10, 63 & 65 required
Experience with major full service retail brokerage
Clean CDR report
Experience in International Markets with FA's working with NRA accounts.
Bilingual English and Spanish
Portuguese a plus
Experience managing compliance in a branch with NRA (Non-Resident Account) business of $10million in revenues or greater with supervisory responsibilities
Experience performing daily, weekly, monthly, and quarterly compliance and operational audits
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