Confidential Posting
Job Summary
- Location
- Costa Mesa, CA
- Industries
- Financial Services
- Job Type
- Full Time
- Employee
- Years of Experience
- 2+ to 5 Years
- Education Level
- High School or equivalent
- Career Level
- Manager (Manager/Supervisor of Staff)
- Salary
- 50,000.00 - 81,000.00 USD /year
To Be Determined
Chief Compliance Officer
About the Job
- Oversee and implement compliance program for FINRA registered managing broker dealer in accordance with FINRA, SEC and State regulations.
- No Retail Activity.
- Oversee all registrations and continuing education for securities licensed registered representatives
- Act as firm liaison for all CRD maintenance and reporting
- Review corporate and individual advertising and sales literature for compliance with applicable regulations
- Review all correspondence and email for compliance with applicable regulations
- Must know Excel, Word, etc…
