Jan 13, 2022

Broker-Dealer Chief Compliance Officer – Management Growth Potential Newport Beach, CA headquarters

  • Mischler Financial Group, Inc.
  • Newport Beach, Calif.
Full-Time Business Defense Finance Legal Management Other Professional Services

Job Description

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, especially responsibility in conjunction with operations. This can also include broader company oversight duties, including forming and maintaining CRM workflows, technology, and cybersecurity systems, etc.


Desired qualifications:

-5-10+ years of experience in financial services regulatory related work, preferably at a broker-dealer.

-Current Series 7, 24, and 63. Able to complete other as needed, such as 3, 34, 27, and 53.

-JD a considerable plus, but not required.

-Familiar with US and state securities laws and regulations. 

-Experience in providing firm-wide advice and support on regulatory updates and changes.

-Role-qualified veteran and diversity candidates strongly encouraged to apply, aligning with our diversity culture.


Job Type: Full-time


Work location/conditions: This is an onsite role in the Newport Beach, CA headquarters. Work will be stationary at a desk and computer for a majority of the day in air-conditioned space. Individual and company COVID precautions are to be taken in line with industry practices.


Pay: Competitive Annual salary commensurate with experience.


Benefits: Generous paid vacation and sick time. 11 paid holidays per year. 401(k); Medical (Health, Dental, Vision) and Life insurance; Flexible Spending Account. EOC.

Established in 1994, Mischler Financial Group, Inc. is a boutique investment bank, conflict-free institutional brokerage, and FINRA’s oldest diversity-certified broker-dealer owned and operated by Service-Disabled-Veterans. Mischler maintains offices in 8 major cities and is staffed by more than 60+ securities industry veterans and

is recognized for its role(s) operating across the primary and secondary financial market ecosystem. Within primary debt and equity capital markets, Mischler is viewed by Fortune issuers and their lead underwriters as “a pure complement” to the role played by respective lead IBs and for advancing corporate D&I initiatives.


Through the firm’s joint strike force alliance with GTS Securities, GTS-Mischler Capital provides a high-touch high-tech secondary market execution platform that serves corporate treasurers who seek a holistic approach to share repurchase and wholesale market FX execution. The industry’s most demanding investment managers rely on the firm to secure truly better execution across US equities, ETFs, and a full array of fixed Income and rates products. Mischler is also an active underwriter of state and municipal securities and provides cash management for government entities and corporations, and asset management programs for liquid and alternative investment strategies.








Security Clearance

NO Security Clearance

Apply Now