Assistant Vice President/Compliance ManagerSpire Investment Partners, LLC (“Spire”) is the parent company of Spire Securities, LLC, a FINRA Member broker/dealer and Spire Wealth Management, LLC a Federally Registered Investment Advisor. The Compliance/Operations home office is located in Reston, VA with branch offices located throughout the country. Spire is currently searching for an AVP/Compliance Manager to manage not only internal ongoing audits of its broker/dealer and RIA operations but also the external branch office audit program. Other responsibilities will include Due Diligence on new products as well as ongoing review of current products, managers, platforms and vendor partners Other responsibilities may include advertising and email reviews, best execution and other surveillance and reporting duties as required by regulation. The candidate must have the FINRA Series 24 license and at least 2 years of supervisory experience in compliance or operations at either a broker/dealer or an RIA. This is a full time permanent position, with growth potential, in the Reston VA office (a very short walk from the new Reston Metro Station). We offer a very competitive salary and benefits. We are always looking for talented and experienced financial services professionals as well as seasonal internships.
Please fax your resume to 703-748-1372 or email to Careers@SpireIP.com