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security compliance finra broker-dealer regulatory📋 Description
- Serve as primary escalation point for complex compliance matters.
- Assess regulatory risk and drive timely resolution of escalated issues.
- Handle regulatory inquiries and audits; coordinate stakeholders.
- Interpret FINRA and SEC rules; ensure consistent supervisory application.
- Ensure proper documentation and alignment with internal controls.
- Identify regulatory gaps and implement corrective measures.
🎯 Requirements
- Bachelor's degree in Finance, Business, or related field.
- Active FINRA Series 24 license (required).
- Series 79, 82, and 63 licenses preferred.
- CAMS or AML certification preferred.
- 10+ years in broker-dealer compliance and supervision.
- Extensive FINRA and SEC regulatory knowledge.
- Experience participating in regulatory inquiries or examinations.
- Experience supporting capital markets transactions in a broker-dealer environment.
🎁 Benefits
- 100% Remote work (Work from wherever you want!)
- High-Speed Internet expenses allowance
- Generous Paid time-off (Vacation Time!)
- Additional 17 Flex Days (to use in national holidays or personal matters)
- People Team Partner
- Buddy Program
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