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Compliance Specialist
CNL
Orlando, FL
Category
Finance
Apply for Job
Job Description
The Compliance Specialist will assist the CCO and Compliance and Legal team with various aspects of administrative activities, reporting, testing, and become familiar with firm activities and processes to ensure compliant processes of associated persons as mandated by FINRA, SEC, and state regulatory entities.
Requirements
3+ years broker/dealer or equivalent securities industry experience preferred
BS degree preferred
FINRA Series 7, and 63 or 66 registrations a plus; registrations will be required to advance within the role
Series 24 registration a plus; registrations will be required to advance within the role
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