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Iowa Licensed Chief Compliance Officer
A company is looking for a Director, Chief Compliance Officer. Key Responsibilities Direct and oversee compliance functions across the organization Develop and manage compliance strategies, policies, and procedures Act as the primary representative with regulatory agencies and oversee submissions Required Qualifications Undergraduate degree in business, finance, accounting, or a related field, or equivalent experience 12+ years of experience in financial services compliance 2+ years in a formal leadership role, preferably in compliance Experience in broker-dealer, insurance, or RIA environments Series 7 and 24 licenses required, or must obtain within 6 months of hire
A company is looking for a Director, Chief Compliance Officer.
Key Responsibilities
Direct and oversee compliance functions across the organization
Develop and manage compliance strategies, policies, and procedures
Act as the primary representative with regulatory agencies and oversee submissions
Required Qualifications
Undergraduate degree in business, finance, accounting, or a related field, or equivalent experience
12+ years of experience in financial services compliance
2+ years in a formal leadership role, preferably in compliance
Experience in broker-dealer, insurance, or RIA environments
Series 7 and 24 licenses required, or must obtain within 6 months of hire
