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Standard job listing
Title of job: Broker Dealer/Investment Advisor (BD/IA) Compliance Policy Developer
Job Location: Minneapolis, Minnesota, 55474
Job Type: Contract
Price Range:
Negotiable, Depending on experience
Start Date:
ASAP
End Date:
Not a pressing concern
Categories:
# Section Category Subcategory
#1 Technical Information Systems Business Analyst
Qualifications:
Required Skills/Experience:  - Proven ability to interpret, create and write compliance policies and procedures for BD and IA business processes. - Proven ability to plan and execute development of compliance policies, SOPs and WSPs. - Proven ability to communicate with all levels of management and staff. - In-depth FINRA / SEC rules and regulation expertise and industry best practices covering BD and IA processes and procedures. - Experience leading efforts critical to an organization's mission or strategic priorities.  Preferred Skills/Experience:  - 5+ years experience either as a compliance manager or compliance business analyst desired. If you meet the above-listed requirements and are interested in pursuing or discussing potential opportunities with Genesis 10, feel free to contact Remster Bingham (National Recruiter) at 800.939.7301 or send your resume directly to rbingham@genesis10.com

Other desired skills:
Broker Dealer/Investment Advisor (BD/IA) Compliance Policy Developer
Job/Project Details: Compliance consultant will be responsible for Broker Dealer/Investment Advisor (BD/IA) Compliance Policy Development.  Responsibilities:  - Develop broker/dealer (BD) and investment advisor (IA) compliance policies. Focus will be on the BD compliance policies. Ensure all compliance policies that impact either BD or IA are captured and documented accurately. - Provide support in development of the corresponding standard operating procedures (SOPs) and written supervisory procedures (WSPs). Help to identify SOP and WSP gaps relative to the compliance policies. - Identify key business resources for compliance policies development. Develop (or confirm) a consistent format for policy content templates. Responsible for delivering the comprehensive BD / IA Compliance Policy Manual that reflects the firm's business. - Provide complete, accurate and timely communication with project sponsors, other program and project managers, team leaders and team members. Communications will include formal project reporting and status meetings. Gain the confidence of key project / program sponsors and stakeholders.df-jb

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