New job Broker Division of Asset Management Firm – Compliance Officer New Jersey

LinkedIn Following

Group: JOBS 2.0: Job Search Career Networking Staffing. Post Resume -Get Paid by Employers at Resumark .com Subject: Broker Division of Asset Management Firm – Compliance Officer New Jersey Gerald Elliott posted a job: Broker Division of Asset Management Firm – Compliance Officer New Jersey "Our client is a very well regarded and respected old-line money management firm. They offer institutional money management, mutual funds, high-net worth, alternative investments and other related products. The company seeks a Compliance Officer who will be responsible for the Broker/Dealer Division of the Asset Management Company. This Broker/Dealer division will focus on the wholesaling and sales to third party entities. The compliance professional will interact with wholesalers that communicate with broker/dealers such as Morgan Stanley Smith Barney, Merrill Lynch, and UBS Financial Services to have their brokers sell their line of mutual funds. Also they will oversee institutional sales professionals who will call upon pension funds and other institutional investors. This compliance person should have a good and solid understanding of broker/dealer issues. Additionally they would also have a clear understanding of asset management as well. Responsibilities: · Reviewing advertisement sales literature and market materials. · Making sure registrations are up to date. · Reviewing for gifting, gratuities and entertainment (G&E). · As well as additional sales practice related matters. *The compensation is in the range of $100K - $150K (all in).* To apply please submit your resume to – Info@compliancesearch.com"

Go see this job post »

Don't want to get activity notifications: Change your following people settings » Learn more about following people's activity LinkedIn values your privacy. At no time has LinkedIn made your email address available to any other LinkedIn user without your permission. ©2011, LinkedIn Corporation.