Working for a top Multi Platform firm handling the broker dealer compliance. Hybrid Schedule and great culture.
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. This role will focus on ensuring adherence to regulatory requirements related to Broker Dealer compliance
- Understanding of FINRA rules and regulations
- Maintain policy and procedures set by the CCO
- Conduct and Develop company wide trainings on rules and regulations
- Handle compliance procedures around new marketing initiatives providing guidance
Qualifications:
- 2-5 years of broker dealer compliance experience
- Strong knowledge of FINRA Rules
- ShareAustin:
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