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Broker-Dealer Compliance Pipeline

3 months ago

New York, United States Taylor Root Full time

Taylor Root is working with various clients in the Financial Services space who are looking for talent with substantial broker-dealer compliance experience. These roles are at various levels of seniority with a majority looking for midlevel compliance. These roles are located in the NYC area. While these roles have a hybrid component, they all require in-office at least 3 days a week.


Some specific areas of experience include marketing review, WSP drafting, licensing and registration, RIA experience and experience with FINRA Gateway.


Series 7 is needed.


If interested, please feel free to apply