This Advisory Project Manager job is with a Regional Broker Dealer located primarily in major cities in the Western United States. The job is remote or in Seattle, WA. The compensation is a base salary of $120,000 + bonuses; total comp = approximately $140,000.
The Advisory Project Manager will support the Director of Products by providing subject matter expertise to advance program needs. The winning candidate will have an in-depth knowledge of the onboarding, supervision and operational process of advisory programs such as Discretionary Advisor as Portfolio Manager, Non-discretionary Rep as PM, MF/ETF wrap programs, Separate Accounts, Unified Managed Accounts etc... This role will collaborate with the leaders within the organization to broaden the product offerings in a highly regulated environment. This role will also help to provide strategic direction for the firm and this leader will be expected to understand business trends as well as industry regulation.
- Bachelor's Degree and a minimum of 5 years of relative professional experience
- Good understanding of the supervision and regulations concerning advisory programs
- Strong project management skills with the ability to collaborate across business units and teams
- Series 7; 65/66 preferred
- Ensure that the policies and procedures on existing programs are robust, consistent, and kept current with firm and regulatory standards on an ongoing basis
- Assist in procedure design and implementation of new advisory products
- Educate both home office employees and advisors on product policies and procedures as it relates to regulatory requirements
- Work in close collaboration with the Supervision, Compliance, and Legal teams to build and maintain key relationships to promote a culture of engagement and connectivity
- Provide analysis for DOL rollover standards, monitor and follow up on deliverables, and provide supervision updates as needed
- Help to limit the firm's regulatory and reputational risk and reinforce the firm's culture of compliance
- Stay current with regulatory and business best practices through participation in industry events
- Base Salary is $120,000 + bonuses; Total comp = $140,000 + full benefits