Position Details
Project Manager Collegeville Pennsylvania Onsite Apply
Project manager
Collegeville, Pennsylvania-Onsite
Phone+Skype
6+Month
Job Description
Legal/Compliance PM: This role will support the Continue Membership Application (CMA) process; Convert Legal agreements to "company documents"; support the conversion of Lion Street Compliance process to TOM (target operational model). They will need to understand key FINRA and SEC Compliance requirements (ADV, Form BD, CMA) and understand day-to-day independent RIA/BD Compliance process and procedures. *** MUST have direct experience with small/independent RIA/BD models.
