Financial Services / Compliance and Operations Officer (UTC/Golden Triangle)

Executive Square

compensation: Compensation is at or above the San Diego average, based on skillset. Many benefits included. Great work environment.
employment type: full-time

We are seeking a talented Compliance and Operations Officer to perform an essential role in one of San Diego's top Financial Planning firms. Although these times are full of uncertainty, our business continues to focus on long term growth by adding exceptional talent.

Litton Financial, LLC is a Financial Planning firm based in Southern California. We serve high-net-worth clientele by providing a unique, comprehensive approach to a family's planning needs, and are expanding with each new referral.

The ideal candidate will be an experienced financial service professional with a background in Compliance and Operations. Detail-oriented, outgoing, offers an elite client service mentality, can work under pressure, and adapt to a fast pace environment, all while contributing to our enjoyable work culture is very important!

General Duties and Responsibilities:

Provide strategic direction, oversee and monitor our compliance program
Coordinate efforts related to audits, reviews, and examinations
Independently investigate and act on matters related to compliance
Maintain operational workflow of activities such as account opening
Demonstrate the ability to utilize technology to maximize efficiencies

Principals only. Recruiters, please don't contact this job poster.
do NOT contact us with unsolicited services or offers

Author Description

Recent