Job Description
Job Description
Financial services company has an immediate need for a compliance officer to join its team. Bachelor’s degree required, preferably in Finance or other business-related concentration, minimum 5 years of financial services industry experience including advertising review experience concerning mutual funds, ETFs, and multi-asset products and solutions required.
SIE, Series 7 and Series 24 licenses also required. Meticulous attention to detail, experience with Red Oak (or similar), technologically savvy.
An interest in a compliance career path within the financial services industry and understanding of the laws that govern its activities, including the Investment Company Act of 1940, the Investment Advisers Act of 1940, the Securities Act of 1933, the Securities Exchange Act of 1934, the Commodity Exchange Act, and FINRA rules and regulations.
This is a hybrid position (in office 2X a week-Wednesday is required. Tuesday or Thursday for the additional day). Base salary up to $130K with experience and an impressive benefits package.
Company Description
Top AM 100 law firm with global reach.
Company Description
Top AM 100 law firm with global reach.
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