Compliance Officer

Job Description

Why is This a Great Opportunity?

• Join a well-established, highly reputable financial services organization with over a century of success.
• Directly contribute to a strong culture of integrity, transparency, and regulatory excellence.
• Collaborate closely with firm leadership on compliance and risk management initiatives.
• Gain exposure to both investment advisory and broker-dealer regulatory environments.
• Opportunity for continued professional growth, licensing, and advancement.

Job Description :

The Compliance Officer supports the firm’s compliance program by overseeing the implementation of internal controls, policies, and monitoring systems that mitigate regulatory and operational risks.

This role works cross-functionally with management and business teams to ensure compliance with applicable laws, rules, and regulations.

Qualifications :

#30407