Senior Compliance Officer

Job Summary

A company is looking for a Senior Compliance Officer - Investor & RIA Services Testing (Remote).

Key Responsibilities

• Design and execute risk-based compliance testing across Broker-Dealer and RIA activities
• Lead the drafting and production of key regulatory reports and ensure defensible reporting
• Establish and enhance testing methodologies, standards, and documentation protocols

Required Qualifications

• Bachelor's Degree and 8 years of relevant experience, or High School Diploma/GED and 12 years of relevant experience
• FINRA Series 7, 24, and 63/65 or 66 licenses required (or to be obtained shortly after hire)
• Strong working knowledge of FINRA rules, SEC regulations, and DOL PTE 2020-02
• Experience in designing and executing risk-based testing programs and regulatory reporting
• Ability to work independently and manage shifting priorities in a fast-paced environment