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
