Working for a Broker Dealer with an RIA program. Small complaince group with alot of exposure.
Compliance Professional
in Financial Services PermanentJob Detail
Job Description
Job Summary: We are seeking a skilled Compliance Professional to join our team in the financial services sector.
Duties: Coordinate and implement all aspects of the compliance programs for the firms, with a particular focus on Broker-Dealer compliance, but to also assist the CCO with the RIA compliance program. Duties will include but not be limited to: training; continuing education; sales literature reviews; gifts and entertainment; licensing and registration; implementing the Code of Ethics; due diligence reviews; coordinating annual compliance reviews; becoming familiar with, edit, and amend written supervisory procedures and other operational and policy manuals.
The position will report directly to the firms’ Chief Compliance Officer.
- ShareAustin:
Related Jobs
- Join our innovative fintech firm as the Head of AML, where your strong AML and Alternatives experience will drive our compliance excellence and shape the future of financial technology.