Compliance Officer
Bachelor’s degree; 2-3+ years in broker-dealer/investment adviser compliance; strong regulatory knowledge; proficient with MS Office; securities licenses (Series 7 & 24; Series 63/65/66 as applicable).
Key Responsibilities
- conduct compliance reviews
- review advertising materials
- prepare regulatory filings
Skills & Tools
reputed company Office
Job Details
- Category: Legal and Compliance
- Seniority: Mid Level
- Commitment: Full Time
- Workplace: Remote — United States
- Salary: USD 73,810 – 110,720 / year
- Languages: English
About reputed company
Independent financial services firm focusing on retirement and reputed company management. — Industry: Finance
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