Responsible for Compliance of a U.S. Broker-Dealer and Registered Investment Advisor. Travel schedule according to the office where CCO is based. Can be in TX, Chicago, NJ or another City. Qualifications: Series 7, 24, 66. 63, 65 or 66 10+ years in BD/IA financial compliance position. Advanced knowledge of FINRA/SEC rules/regulations for broker/dealers, investment advisors.
The office can be one of several major regional offices of this national Broker-Dealer and Registered Investment Advisor.
If you are interested please call (973) 826-0537 or send an email to learn the exact city names.
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