Similar Jobs
See allChief Compliance Officer
Frec
US
FINRA
Compliance
Risk Assessment
Senior Compliance Analyst Partner Integration, Monitoring & Testing
Mercer Advisors
US
Compliance
Auditing
MS Excel
Compliance Examiner - Broker Dealer
Horace Mann
US
Auditing
Regulatory Knowledge
Microsoft Office
Senior Compliance Manager
Not Specified
Canada
Compliance
Regulatory Affairs
AML
Director, Supervision – Broker Dealer
Horace Mann
US
FINRA
Series 7
Accountabilities:
- Support the development and implementation of the firm's compliance program.
- Apply practical knowledge of FINRA, SEC, and securities regulations.
- Partner with business teams to evaluate controls and implement improvements.
Requirements:
- 10+ years of compliance experience in FINRA, SEC, and OCC environments.
- Strong background in broker-dealer or financial services compliance.
- Deep knowledge of U.S. securities regulations and licensing obligations.
Benefits:
- Fully remote opportunity with flexibility across the United States.
- Competitive salary package and stock options.
- Comprehensive health benefits and home office support.
Unknown
Our partner is a fast-growing global financial technology company. They foster a collaborative culture with experienced professionals across multiple regions.