Compliance Officer
1 month ago
MUST HAVES:
Bachelor's degree in Finance or related field
5+ years of securities industry experience in a supervisory or compliance capacity
Bilingual in English and Spanish
NASAA Series 65 or 66
PLUSSES:
FINRA Series 7 & 24
Day to day:
The Deputy Chief Compliance Officer supports the Chief Compliance & Risk Officer in the development and implementation of the Firm’s compliance program. They will also partner in ensuring that a company adheres to all applicable laws, regulations, and internal policies. Responsibilities typically include developing compliance programs, conducting risk assessments, training staff, monitoring compliance efforts, and investigating potential violations. They may also collaborate with other departments to implement compliance measures and advise senior management on compliance-related matters. Additionally, they may represent the company during regulatory inspections and audits. Strong leadership, analytical skills, and knowledge of relevant laws and regulations are essential for this role.
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