Senior Director, Front Office Advice - Overland Park
1 day ago
Job summary
We have a flexible work environment and fluid career paths. Chart your own path and grow your career while helping more customers achieve financial freedom.Responsibilities
- Partner with the VP of Compliance senior leaders and front-office executives to implement the compliance framework for EPW and EWS.
- Serve as the primary compliance contact for advice delivery supervision and client conduct matters.
- Provide expert interpretation and guidance on SEC FINRA and DOL regulations including Regulation Best Interest.
Job description
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