Sales & Compliance Manager – Investment Products

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Our client, a well-established financial services firm specializing in custodial and trust solutions, is seeking a dynamic and results-driven Sales & Compliance Manager – Investment Products. This role is critical in blending sales leadership with regulatory expertise to drive growth within their Broker-Dealer division. The ideal candidate will possess strong sales acumen, a deep understanding of regulatory requirements, and the ability to execute strategic initiatives in the stock, bond, and mutual fund trading space.



Sales & Compliance Manager – Investment Products Compensation and Benefits:

• Competitive base salary $100,000 to $120,000
• Generous commission structure
• Remote work flexibility
• Supportive and vibrant company culture
• Full benefits package, including health insurance, 401(k), and paid time off

Sales & Compliance Manager – Investment Products Key Responsibilities:

• Sales Leadership: Generate revenue by driving sales initiatives, building client relationships, and targeting the investment advisor market for alternative asset management.
• Regulatory Compliance: Ensure adherence to FINRA, SEC, and other regulatory standards, acting as the firm’s General Principal.
• Business Development: Identify and pursue new business opportunities, leveraging both sales expertise and regulatory knowledge.
• Operational Management: Oversee trading activities, compliance processes, and client support functions to maintain seamless operations.
• Strategic Vision: Contribute to the firm's broader strategy, focusing on expanding the Broker-Dealer's footprint in the market.
• Risk Management: Implement policies and controls to mitigate compliance and operational risks.
• Technology Integration: Enhance operational efficiency through the adoption of advanced trading platforms and compliance technologies.

Sales & Compliance Manager – Investment Products Qualifications:

• Licensing: Active Series 7 and Series 24 licenses required; additional FINRA licenses are a plus.
• Experience: Minimum of 10 years in a dual sales and compliance role within a Broker-Dealer or wealth management environment.
• Sales Expertise: Proven success in sales roles, particularly in smaller company settings or with wealth management products.
• Regulatory Knowledge: Strong understanding of regulatory compliance, including stock, bond, and mutual fund trading practices.
• Financial Acumen: Experience with budgeting, financial planning, and P&L management.
• Tech Savvy: Familiarity with trading systems, compliance software, and RegTech solutions.
• Entrepreneurial Mindset: Ability to thrive in a growth-focused and fast-paced environment.

At Goodwin Recruiting, we are committed to our core values and providing world class customer service. We are committed to helping our clients navigate and comply with the complex and ever-changing labor laws as well as help ensure that in every hiring decision, internally and with our client partners, that all viable candidates are considered, and the most qualified candidate is offered the role. We evaluate the knowledge, skills, and abilities that meet the requirements of the position and aim to open doors and change lives. We value all people, understanding that uniqueness and diversity foster a stronger team that is innovative and brings varying perspectives to the table. We put our money where our mouth is and are proud of our efforts to identify a broad slate of candidates, with many hiring success stories to share.

JOB ID: 154286

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Neil Lurvey

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