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Temporary Registered Representative Jobs in Washington

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Temporary Registered Representative information

What cities in Washington are hiring for Temporary Registered Representative jobs?

Cities in Washington with the most Temporary Registered Representative job openings:

Investment Compliance Manager | Temporary

Bethesda, MD • On-site

The Ford Agency
Recruiting and Staffing Services • 1 - 10 employees

Other

Posted 10 days ago


Job description

The Ford Agency has an exciting Investment Compliance Manager role with one of the DC-area's top investment firms. The person in-seat will act as the subject matter expert on all compliance matters related to advisers, ETFs, mutual funds, CPOs, and CTAs. This is an excellent opportunity for someone with 5+ years of investment legal experience to join a successful and well-established team. This is a temp-to-hire position and available immediately.

Candidates for this position must be based in DC, MD, or VA area or have independent plans for relocation.

The Ford Agency is a recruiting firm based in Washington, DC. We represent a broad range of organizations including: non-profits, associations, legal, consulting, and government relations firms. This position is an opening with one of our clients.

Responsibilities Include:
  • Collaborate on developing compliance policies and processes
  • Identify and resolve compliance issues
  • Represent firm with regulatory agencies and service providers
  • Benchmark policies and evaluate compliance control effectiveness
  • Train and mentor marketing, strategy, and portfolio staff
  • Regularly administer compliance risk testing
  • Screen various materials for conflicts of interest
Qualifications Include:
  • BA/BS degree required, JD strongly preferred
  • Series 7, 63, and 24 licenses required
  • 5+ years direct experience in a compliance focused role for a registered investment firm
  • 5+ years experience working with SEC, FINRA, CFTC and securities agencies
  • Strong leadership, analytical, and organizational skills
  • Excellent written and verbal communication skills
Compensation:
  • $100K + discretionary bonus
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