Senior Compliance Officer with FINRA Licenses

Job Summary

A company is looking for a Senior Compliance Officer to navigate the regulatory landscape of the fintech world.

Key Responsibilities

• Design and implement broker-dealer and investment advisory procedures that align with regulatory requirements
• Audit communications and marketing materials for compliance with regulations and internal policies
• Lead regulatory compliance training and serve as a subject matter expert on compliance-related matters

Required Qualifications

• 7+ years of experience in a Financial Services organization
• FINRA SIE, Series 7, 24, 63, and 65 (or 66) licenses required
• Proven experience in financial compliance with broker-dealer and investment advisory regulations
• Experience with regulatory inquiries and understanding of the financial regulatory environment
• Strong ability to evaluate risk and make sound decisions