We're sorry but no jobs were found based on your search. Please change your selections and search again.
| |
|
| Job Number: | 25643023 | | Company Name: | Robert Half Finance & Accounting | | Job Location: | POUGHKEEPSIE, NY US | | Job Category: | Management & Business |
| | |
Chief Compliance Officer
|
Chief Compliance Officer
Chief Compliance Officer wanted for growing broker dealer. This person will ensure that the company is consistent with FINRA and other regulatory rules and that staff and management are aware of their responsibilities in this regard. In this role you will lead all aspects of FINRA and SEC compliance, oversee all regulatory audits and exams, evaluate and enhance existing procedures, and supervise a staff of 6-8 compliance professionals. Qualified applicants will have at least eight (8) years relevant experience, extensive experience and knowledge of FINRA and SEC requirements and experience developing, implementing and overseeing compliance programs,. Individuals need good communication and interpersonal skills. Series 7, 24, 63 desired.
For immediate consideration and to set up an interview, email your resume as an MS Word attachment to or call Robert Prosperino at . If you have already registered with Robert Half please contact your recruiter.
Due to the high volume of resumes received, only qualified candidates will be contacted.
Additional Information
Location: POUGHKEEPSIE, NY
Job ID: 02970-106310
Experience: FINRA and SEC Compliance, AML, Anti-money Laundering, Broker Dealer, compliance risk assessment, MS Excel
Unit: Robert Half Finance & Accounting
|
|
|
|
|
| |
|
|
|
