Assistant Vice President/Compliance Manager
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 in the Reston VA office (a very short walk from the new Reston Metro Station). We offer competitive salary and benefits.
Please fax your resume to 703-748-1372 – attn.: Careers, or email to Careers@spireip.com
Assistant Operations Manager
Spire 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 operations home office is located in Reston, VA with branch offices located throughout the country.
Spire Investment Partners is searching for an Assistant Operations Manager in its Reston, Virginia operations facility. The position will report directly to the VP, Director of Operations.
• Principal/ OSJ review and approval of new accounts.
• Review daily trade blotters: Best Execution, MSRB, TRACE and OATS.
• Provide daily guidance to staff on all aspects related to new accounts, account maintenance, transfers and cashiering functions for both the RIA and B/D businesses.
• Ensure efficient and smooth transition of new advisor practices to the firm.
• Maintain customer focus by ensuring quality and service goals are achieved.
• At least 5 years experience in either the RIA or B/D space or both.
• A minimum of 2 years management experience.
• FINRA Series 4, 24 and 53 licenses preferred. FINRA Series 7 Required.
• Experience working with the following custodians: Pershing, LLC., Pershing Advisor Solutions, National Financial Services, Fidelity Institution Wealth Services and Charles Schwab Institutional
• Excellent organization, administrative, problem resolution and customer service skills.
• Strong computer skills and a working knowledge of Microsoft Word and Excel.
• Excellent verbal and written communication skills.
• Attention to detail and an eye for accuracy.
• Ability to work as a team and independently to meet deadlines and provide superior customer service.
• College degree preferred.
This is a full time permanent position with advancement opportunities. The salary is commensurate with experience. Full suite of benefits includes health, 401K and vacation/sick leave.
This is a full time permanent position in the Reston VA office (a very short walk from the new Reston Metro Station).
We offer competitive salary and benefits.
Please fax your resume to 703-748-1372 or email to Careers@SpireIP.com