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Remote Chief Marketplace Compliance Officer

Job is Expired
Location: Nationwide
Compensation: Salary
Staff Reviewed: Wed, Aug 31, 2022
Job Category: Financial
Employer Type: Employer
Career Level: Experienced

Job Summary

A software development company has a current position open for a Remote Chief Marketplace Compliance Officer.

Core Responsibilities of this position include:

  • Developing, implementing and maintaining the Marketplace compliance program
  • Leading a team of qualified compliance professionals
  • Providing appropriate support, advice and training to relevant stakeholders

Qualifications for this position include:

  • 5+ years of senior broker-dealer compliance experience in a compliance department of a registered broker-dealer
  • Thorough knowledge of Securities Act of 1933
  • Thorough knowledge of Investment Advisers Act of 1940, and other SEC/FINRA rules and regulations
  • Series 7, 24 (required)
  • Strong knowledge of control frameworks

COMPLETE JOB DESCRIPTION

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