Sep 07, 2021
Broker-Dealer Chief Compliance Officer – Management Growth Potential Newport Beach, CA headquarters Featured
PLEASE REMIT RESUMES TO: [email protected] Broker-Dealer Chief Compliance Officer – Management Growth Potential Responsibilities include: -Bring added expertise to the team of professionals, with internal training under current management. -Oversee FINRA and SEC procedures and inquiry responses, acting as key contact for regulators. -Coordinate compliance team, rules updates, reports, policies, procedures, and compliance reminders. -Approve new accounts and RFQ’s, including conducting vendor due diligence. -Renew and maintain WSP’s, and communicate changes. -Review agent licensing and activity, including communications with clients, and state registrations. -Supervise onboarding of accounts along with establishing required credit lines. -Supervise 4210 regulatory requirements. -Oversee NDA’s and other legal considerations, working with attorneys as needed. -The ideal candidate can anticipate growth opportunities,...
Mischler Financial Group, Inc. Newport Beach, Calif. Full-Time