Sr. Compliance Officer

New

Skills

Regulatory Compliance Risk Assessment

The Sr. Compliance Officer will be responsible for designing and implementing compliance procedures for broker-dealer and investment advisory services, ensuring adherence to regulatory guidelines while addressing customer concerns with integrity.

Key Responsibilities
  • Design & implement broker-dealer and investment advisory procedures.
  • Review & refine public communications to align with regulatory guidelines.
  • Address customer complaints and concerns with integrity.
  • Lead regulatory compliance training for associates.
  • Coordinate inquiries and examinations from regulators.
  • Conduct comprehensive risk assessments and develop mitigation strategies.
Required Skills & Qualifications
  • 7+ years of experience in a Financial Services organization.
  • Possession of FINRA SIE, Series 7, 24, 63, and 65 (or 66) licenses.
  • Proven experience in broker-dealer and investment advisory compliance.
  • Strong risk assessment and decision-making abilities.
  • Excellent communication skills with the ability to translate regulations into actionable plans.
  • Experience with regulatory inquiries and the current financial regulatory environment.

Job Type: Remote

Salary: Not Disclosed

Experience: Entry

Duration: 12 Months

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