A dynamic Fintech start-up is looking to add a Compliance Officer to their growing team. The ideal candidate is a proactive and entrepreneurial professional with a minimum of 3 years of established experience in prior compliance roles who can exercise their excellent analytical, communications, and organizational skills to provide outstanding client service in compliance.
Requirements:
-Work experience and/or training in the securities/finance industry, preferably for an independent broker-dealer
-Active FINRA Series 7, 24, & 63. *Bonus points for 79
-Thorough understanding of the SEC and FINRA rules applicable to broker-dealer compliance
-This position is remote eligible- preference to individuals located in CST
