Compliance Specialist with Licenses

A company is looking for a Compliance Specialist to support its Compliance Program and contribute to the team's growth and deliverables. Key Responsibilities Develop and manage a Compliance Department activity reporting system Lead the design and implementation of a Compliance Department ticketing system Provide support, education, and guidance to Financial Representatives regarding business processes and compliance Required Qualifications Bachelor's degree in a related discipline required Minimum of two years of Compliance and/or regulatory experience within RIA and broker-dealer segments Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or ability to obtain within 120 days of hire) Strong working knowledge of brokerage and investment advisory regulatory frameworks Ability to work independently and manage time efficiently

Apr 10, 2025 - 19:01

A company is looking for a Compliance Specialist to support its Compliance Program and contribute to the team's growth and deliverables. Key Responsibilities Develop and manage a Compliance Department activity reporting system Lead the design and implementation of a Compliance Department ticketing system Provide support, education, and guidance to Financial Representatives regarding business processes and compliance Required Qualifications Bachelor's degree in a related discipline required Minimum of two years of Compliance and/or regulatory experience within RIA and broker-dealer segments Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or ability to obtain within 120 days of hire) Strong working knowledge of brokerage and investment advisory regulatory frameworks Ability to work independently and manage time efficiently