Chief Compliance Officer (FINRA Licensed)VirtualVocations • Hialeah, Florida, United States
Chief Compliance Officer (FINRA Licensed)
VirtualVocations • Hialeah, Florida, United States
Hace 2 días
Tipo de contrato
- A tiempo completo
Descripción del trabajo
A company is looking for a Chief Regulatory Officer.
Key Responsibilities
Drive compliance in support of business strategies and execute a comprehensive compliance strategy
Develop and lead a high-performing compliance team, fostering a culture of innovation and collaboration
Manage regulatory interactions and compliance matters, ensuring adherence to applicable laws and regulations
Required Qualifications
15+ years of compliance experience with an SEC-registered, FINRA-member broker-dealer
At least a Bachelor's degree; a law degree is a plus
FINRA Licenses : Series 7, Series 24, and Series 63 are required
Experience with cross-border compliance and regulatory frameworks is preferred
Experience in capital markets and familiarity with software development lifecycles is a plus
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Compliance Officer • Hialeah, Florida, United States
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