Job Summary
A financial company is in need of a Remote FINRA and SEC Compliance Consultant.
Must be able to:
- Review and approval of marketing materials
- Design and perform compliance testing pursuant to Rules 3130 and 206(4)-7
Qualifications for this position include:
- 5 - 7 years relevant experience working in a compliance-capacity
- FINRA licenses required: 6 or 7, 24 or 26, 63 and 65, or 66
- Bachelor’s degree in business or related field
