Role OverviewLead a team of compliance professionals, monitor regulatory changes, and implement cutting-edge compliance technologies. Manage regulatory exams, inquiries, and investigations, and ensure timely completion of regulatory filings and audits.
What You Will Do
Inspire and manage a team, monitor regulatory changes, implement compliance technologies, communicate with supervisors and representatives, manage regulatory exams and investigations, and ensure timely completion of regulatory filings and audits.
Why It Might Be a Fit
Requires at least 8 years of compliance experience, deep knowledge of FINRA and SEC regulations, and strong organizational, analytical, and problem-solving abilities.
Requirements
- At least 8 years in compliance
- Deep knowledge of FINRA and SEC regulations
- Series 7, 24, and 65/66 licenses
- Bachelor's Degree
- CAMS certification preferred
- Exceptional organizational, analytical, and problem-solving abilities
- Stellar written and verbal communication skills
- Ability to multitask and thrive in a fast-paced environment
- Strong team player with excellent coaching, feedback, and listening skills
Benefits
- Competitive salary
- Benefits
- Career advancement opportunities
- Focus on professional growth
- Innovative trading platform
- Supportive team culture
- Work with industry experts
- Cutting-edge technology
- Client-centric approach
- Dynamic work environment
- Strong reputation in finance
]]>