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 and advertising materials
• Conduct branch examinations and provide compliance support to Financial Representatives
• Assist management with various compliance projects and inquiries

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) licenses
• Strong knowledge of brokerage and investment advisory regulatory frameworks
• Experience with regulatory requirements under Reg-BI and PTE 2020-02 is preferred