State Licensed Compliance Manager

Job Summary

A company is looking for a Compliance Manager responsible for overseeing compliance functions and ensuring adherence to regulatory standards.

Key Responsibilities

• Oversee compliance functions to uphold the highest standards among financial professionals
• Assist with the design and implementation of the retail BD platform and lead Form ADV filings
• Conduct risk assessments and assist in regulatory examinations as needed

Required Qualifications, Training, and Education

• 5-10 years of experience in compliance, regulatory, or supervision roles
• Experience leading projects related to broker-dealer or investment advisory activities
• Series 7, 63, and 65 (or 66), and 24 securities registrations
• Familiarity with FINRA/SEC rules and state insurance department regulations
• College degree or equivalent work experience required