Senior Compliance Officer

A company is looking for an Investment Advisory Senior Compliance Officer. Key Responsibilities Manage and implement the investment advisory compliance program, including risk assessments and control testing Prepare and file regulatory forms and reports, ensuring compliance with applicable regulations Provide guidance and support to compliance staff in responding to regulatory inquiries and examinations Required Qualifications Bachelor's degree in business management, Finance, Economics, or a related field 5+ years of relevant investment advisory compliance work experience preferred Series 7, 63, and 65 or 66 licenses required; Series 24 or 9/10 required or ability to obtain within 6 months Extensive knowledge of securities industry regulations, particularly the investment advisory business Experience with project management and ability to handle multiple tasks independently

Mar 25, 2025 - 23:47

A company is looking for an Investment Advisory Senior Compliance Officer. Key Responsibilities Manage and implement the investment advisory compliance program, including risk assessments and control testing Prepare and file regulatory forms and reports, ensuring compliance with applicable regulations Provide guidance and support to compliance staff in responding to regulatory inquiries and examinations Required Qualifications Bachelor's degree in business management, Finance, Economics, or a related field 5+ years of relevant investment advisory compliance work experience preferred Series 7, 63, and 65 or 66 licenses required; Series 24 or 9/10 required or ability to obtain within 6 months Extensive knowledge of securities industry regulations, particularly the investment advisory business Experience with project management and ability to handle multiple tasks independently