<p>Our client, a growing investment management firm is seeking a compliance professional to join their firm as a Supervising Principal in the Twin Cities. In this role, you will ensure compliance with industry regulations while overseeing the activities of a variety of investment professionals. This position, reporting to the Head of Compliance, is integral to maintaining high operational standards and supporting the firm&#39;s commitment to ethical practices.</p><p><strong>Responsibilities</strong></p><ul><li>Oversee and approve day-to-day business activities, including new and existing transactions.</li><li>Review and authorize forms for new accounts, service forms, and related client transactions.</li><li>Assist with due diligence processes for new products and vendors.</li><li>Analyze business practices to identify potential risks and trends.</li><li>Collaborate with senior management to recommend updates to policies and procedures.</li><li>Review and approve public communications.</li><li>Serve as a resource for employees on supervision topics and industry best practices.</li><li>Provide support for special projects and organizational initiatives as needed.</li></ul><p>If you are interested in joining this dynamic investment firm please contact Douglas Rickart on LinkedIn, call Doug at 612-804-2132 or apply through the link provided.</p>

<p><strong>Requirements</strong></p><ul><li>Active FINRA Series 7, 63/65 or 66, and 24 registrations.</li><li>Minimum 3 years of experience in compliance at a financial services firm.</li><li>Strong written and verbal communication abilities.</li><li>Thorough knowledge of applicable laws and regulations affecting the financial services industry.</li><li>Solid understanding of products and services offered by broker dealers and clearing firms.</li><li>Proven quantitative, qualitative, analytical, and problem-solving skills.</li></ul>

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