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Legal, Compliance, & Risk
Thanks for your interest in the AVP, Advisor Compliance position. Unfortunately this position has been closed but you can search our 268 open jobs by clicking here.




-B/S or B/A in Business Management, Finance or Accounting

-7+ years of Compliance, Legal, and/or Regulatory experience in financial services



-10+ years of Compliance, Legal, and or Regulatory experience in financial services

- Ability to work closely with, and across, business units and effectively communicate guidance both in written form and through face to face interactions; strong communication, writing and interpersonal skills are essential

-Ability to critically assess complex issues and then conceptualize and articulate appropriate solutions

-Ability to work independently, but within a team environment

-Ability to provide counsel as part of a business or project team

-Experience working in a solutions-driven environment



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We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

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