Telecommute Mobile Financial Application Chief Compliance Officer

Location: Nationwide

Compensation: To Be Discussed

Staff Reviewed: Tue, Sep 15, 2020

This job expires in 21 days

Job Category: Financial, Management

Remote Level: 100% Remote

Weekly Hours: Full Time

Employer Type: Employer

Career Level: Executive Level

Job Summary

A financial technology company. is searching for a person to fill their position for a .

Must be able to:

  • Lead the broker-dealer Compliance team and program
  • Develop and implement policies and procedures to meet securities regulatory requirements
  • Oversee daily management of compliance program and lead efforts to further develop investment of mobile application

Must meet the following requirements for consideration:

  • 10+ years of experience in financial services regulation including experience related to broker dealer compliance functions and retail brokerage
  • FINRA Licenses: Series 24, Series 63 and Series 7
  • Background in managing compliance support teams within a broker-dealer environment
  • Expertise in developing a broker dealer’s annual certification under FINRA Rule 3130
  • Experience in handling customer complaints and interactions with securities regulators, including FINRA and the SEC
  • In-depth SEC/FINRA regulatory knowledge and reporting requirements