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Compliance Officer- Broker Dealer Compliance & Registered Investment Advisor

Legal, Compliance, & Risk
Thanks for your interest in the Compliance Officer- Broker Dealer Compliance & Registered Investment Advisor position. Unfortunately this position has been closed but you can search our 268 open jobs by clicking here.
Required Qualifications:
  • Bachelor’s degree
  • 5+ years of Broker Dealer and/or RIA compliance experience
Preferred Qualifications:
  • Master’s Degree
  • Series 7 and Series 24 or ability to obtain within 6 months of hire
  • 7+ years working within a legal, compliance or business unit in a financial services firm distributing and servicing RIA/BD products
  • Background or experience in a relevant regulatory agency a plus
  • Previous experience working with regulatory authorities desirable
  • Strong organizational and reporting skills
  • Strong executive presence and relationship management skills
  • Excellent quantitative, analytical and problem solving skills
  • Excellent written and oral communication skills including presentation and public speaking skills
  • Able to work independently and collaboratively with team members at all levels
  • Proficient with technology and information systems
  • Strong Microsoft Office skills (Word, VISIO and Excel)
  • Pivot tables in Excel

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