Compliance Director
CreativeOneHighlight
Summary
About the Role
About You
- BA/BS or equivalent experience.
- Minimum of 7 - 10 years of managerial and/or compliance experience at a broker-dealer or investment advisory firm.
- Deep knowledge of FINRA and SEC regulations.
- FINRA licenses 7, 65 (or combination of 7 and 66), and 24.
- Experience with compliance training programs and advertising review.
- Familiarity with email surveillance tools and cybersecurity measures.
Benefits
- Energetic and fun work environment.
- Opportunities for growth and development.
Surpassing the traditional definition of an independent marketing organization, CreativeOne is an industry-leading diversified financial services organization focused on retirement income solutions, including annuities, investments and life insurance. Changing the scenery since 1984, CreativeOne has been providing expert advisor solutions that foreshadow regulatory change while supplementing successful independent businesses through exclusive product offerings, trend-setting lead-generation programs, and award-winning marketing services. With more than 140 dedicated employees accommodating thousands of insurance and financial professionals nationwide, CreativeOne is committed to propelling ahead of industry best practices while unifying technology to enhance advisor productivity and deliver top-notch end-consumer solutions. In addition, Client One Securities, the in-house broker dealer, and ChangePath, the turnkey asset management platform (TAMP) are extensions of our corporate value proposition. Visit www.creativeone.com for more information.