Manager, Financial Compliance Salary at Financial Principles Llc BETA

Job Title: Compliance Officer Location: Fairfield, NJ (hybrid) Salary: $120-145k/yr Our client is a trusted Registered Investment Advisor located in Fairfield, New Jersey providing customized financial planning and investment management services to individuals, families, and institutions. Their commitment is to maintaining the highest standards of integrity and compliance within the industry. We are currently seeking a highly motivated and detail-oriented Compliance Officer to join the team. As a Compliance Officer, you will be responsible for ensuring the firm adheres to all regulatory requirements and internal policies, fostering a culture of compliance and ethical conduct. Key Responsibilities: Monitor and ensure the firm’s compliance with SEC and state regulations, including but not limited to the Investment Advisers Act of 1940. Develop, implement, and maintain compliance policies and procedures. Conduct regular compliance audits, reviews, and risk assessments to identify potentia

About the job Manager, External Reporting Hybrid- 3 days onsite Position Overview: A key leadership role focused on the preparation and oversight of external financial reporting, disclosures, and compliance processes. This position involves working closely with cross-functional teams to ensure the accuracy and timeliness of financial statements, support strategic initiatives, and identify opportunities for process improvements. The ideal candidate is a proactive, detail-oriented professional with strong technical knowledge and the ability to collaborate effectively with senior leadership. Key Responsibilities: Manage the preparation of external financial reports in compliance with applicable standards and regulations. Develop and review detailed disclosures for key financial elements and ensure alignment with technical guidance. Collaborate with multiple teams to support financial communication initiatives, including reporting, presentations, and releases. Conduct thorough reviews of f

Job Overview As a Banking Service Professional, the Personal Banker will provide effective support of sales and service activities within the banking office, developing new business by educating existing and potential clients and exemplifying Valley's quality service standards. Provides a variety of banking solutions by analyzing needs, recommending solutions and selling bank products and services to existing and potential clients. Perform a variety of routine banking transactions (teller and platform), while supporting the Market Manager in achieving quality service and complying with operational procedures. Job Description Responsibilities include, but are not limited to: Responsible for providing exceptional customer service in accordance with Valley's mission statement. Ability to engage customers with friendly and professional service. Knowledge of all Bank products and services and ability to educate and demonstrate customers on such, as well as cross sell various products and se

Job Overview As a Banking Service Professional, the Personal Banker will provide effective support of sales and service activities within the banking office, developing new business by educating existing and potential clients and exemplifying Valley's quality service standards. Provides a variety of banking solutions by analyzing needs, recommending solutions and selling bank products and services to existing and potential clients. Perform a variety of routine banking transactions (teller and platform), while supporting the Market Manager in achieving quality service and complying with operational procedures. Job Description Responsibilities include, but are not limited to: Responsible for providing exceptional customer service in accordance with Valley's mission statement. Ability to engage customers with friendly and professional service. Knowledge of all Bank products and services and ability to educate and demonstrate customers on such, as well as cross sell various products and se

Job Overview As a Banking Service Professional, the Personal Banker will provide effective support of sales and service activities within various branches on a rotating basis, developing new business by educating existing and potential clients and exemplifying Valley's quality service standards. Provides a variety of banking solutions by analyzing needs, recommending solutions and selling bank products and services to existing and potential clients within the division. Perform a variety of routine banking transactions (teller and platform), while supporting the Market Manager in achieving quality service and complying with operational procedures at the assigned location. Job Description Responsibilities include, but are not limited to: Responsible for providing exceptional customer service in accordance with Valley's mission statement. Ability to engage customers with friendly and professional service. Knowledge of all Bank products and services and ability to educate and demonstrate c

Job Overview As a Banking Service Professional, the Personal Banker will provide effective support of sales and service activities within the banking office, developing new business by educating existing and potential clients and exemplifying Valley's quality service standards. Provides a variety of banking solutions by analyzing needs, recommending solutions and selling bank products and services to existing and potential clients. Perform a variety of routine banking transactions (teller and platform), while supporting the Market Manager in achieving quality service and complying with operational procedures. Job Description Responsibilities include, but are not limited to: Responsible for providing exceptional customer service in accordance with Valley's mission statement. Ability to engage customers with friendly and professional service. Knowledge of all Bank products and services and ability to educate and demonstrate customers on such, as well as cross sell various products and se

DESCRIPTION: A New Jersey based SEC registered investment adviser (“RIA”) seeks candidates interested in applying for the role of Senior Compliance Officer for a firm with 160 plus supervised persons. The RIA is an $8B billion AUM privately held firm that was founded in 1994. The firm provides customized financial planning and wealth management services to a broad array of clients, including high-net-worth individuals, family offices and other institutional clients. The RIA is a “hybrid” RIA with a number of its IARs dually registered with a large third-party broker-dealer. The Senior Compliance Officer will work directly with the firm’s Chief Compliance Officer (“CCO”) to administer and support the RIA’s Rule 206(4)-7 compliance program, including, but not limited to, updating and maintaining the written policies and procedures and managing the compliance-related testing, reviews and risk assessment processes. The Senior Compliance Officer will report directly to the CCO. The specific

Job Overview As a Banking Service Professional, the Personal Banker will provide effective support of sales and service activities within the banking office, developing new business by educating existing and potential clients and exemplifying Valley's quality service standards. Provides a variety of banking solutions by analyzing needs, recommending solutions and selling bank products and services to existing and potential clients. Perform a variety of routine banking transactions (teller and platform), while supporting the Market Manager in achieving quality service and complying with operational procedures. Job Description Responsibilities include, but are not limited to: Responsible for providing exceptional customer service in accordance with Valley's mission statement. Ability to engage customers with friendly and professional service. Knowledge of all Bank products and services and ability to educate and demonstrate customers on such, as well as cross sell various products and se