California Licensed Compliance Officer

Job Summary

A company is looking for a Senior Compliance and Supervision Officer.

Key Responsibilities:

• Serve as the primary escalation point for complex compliance and supervisory matters
• Participate in handling regulatory inquiries, examinations, and audits
• Provide Series 24 supervisory oversight and support for capital raise and M&A transactions

Required Qualifications:

• Bachelor's degree in Finance, Business, or a related field
• Active FINRA Series 24 license (required)
• Minimum of 10 years of experience in broker-dealer compliance and supervision
• Extensive knowledge of FINRA and SEC regulatory frameworks
• Experience supporting capital markets transactions within a broker-dealer environment