A growing fintech focused on fixed income and market securities is looking for a Compliance Officer to join their team. The Compliance Officer will be responsible for ensuring the firm's compliance with regulatory requirements as well as maintaining effective execution of the broker dealer's compliance program. This role will work directly with the Chief Compliance Officer and can sit in Florida or fully remote.
Preferred Qualifications :
-3+ years' of relevant compliance experience, ideally with a broker dealer or RIA
-Strong knowledge of SEC & FINRA rules and regulations
-Experience reviewing marketing and advertising materials
-FINRA Series 7 & 24