Established RIA seeking senior member for Scottsdale firm. Reporting directly to the CEO, this role will work with the executive team to provide sales management and leadership to achieve the firm’s objectives. This is a player/coach role in which a strong presence and commitment to the Phoenix/Scottsdale and surrounding Valley is preferred. RESPONSIBILTIES -Plan and develop policies and objective...
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SVP/VP & Compliance Director Job Scope Responsible for advising and executing audits related to Consumer Compliance such as Reg. B, Reg. Z, RESPA, HMDA, TILA, Fair Lending, the CFPB and Secondary Market investors. This position specifically requires applying a strong understanding of Consumer Regulation to plan and execute audits, conduct continuous auditing procedures including review of applicab...
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