Iowa Licensed Chief Compliance Officer

Job Summary

A company is looking for a Director, Chief Compliance Officer.

Key Responsibilities

• Direct and oversee compliance functions across the organization
• Develop and manage compliance strategies, policies, and procedures
• Act as the primary representative with regulatory agencies and oversee submissions

Required Qualifications

• Undergraduate degree in business, finance, accounting, or a related field, or equivalent experience
• 12+ years of experience in financial services compliance
• 2+ years in a formal leadership role, preferably in compliance
• Experience in broker-dealer, insurance, or RIA environments
• Series 7 and 24 licenses required, or must obtain within 6 months of hire