Securities Compliance Principal

Job Summary

A company is looking for a Securities Compliance Principal responsible for ensuring adherence to securities laws and regulations.

Key Responsibilities

• Review and approve new investment accounts
• Conduct branch examinations and provide compliance guidance to staff
• Assist in investigations and support compliance projects as assigned

Required Qualifications

• Bachelor's degree in a related discipline
• Minimum five years of Compliance and/or regulatory experience in RIA and broker-dealer segments
• Series 7, 24 (or 26), 65 (or 66), Series 53 (or 51) certifications
• Strong knowledge of regulatory frameworks and industry rules
• Ability to work independently and manage tasks efficiently