Senior Compliance Officer
Insight Global
On site 5x a week | Base Salary 100k-115k Required Skills & Experience Both Series 7 and Series 63 Series 65 or the combination of 66 and 24 license Regulatory Inquiries, Exams & Responses Customer Complaints, Incidents & 4530 Reporting Licensing, Registration & Onboarding Controls Compliance Training & Continuing Education (CE) Regulator & Internal Stakeholder Interaction Nice to Have Skills & Experience Experience overseeing compliance across BD, RIA, and insurance entities simultaneously Familiarity with compliance and surveillance systems Experience with heightened supervision programs Experience updating or enhancing Written Supervisory Procedures (WSPs) Background working in a fast‑growing or scaling financial services firm Job Description The Senior Compliance Officer supports the firm’s compliance program across its broker‑dealer, investment adviser, and insurance operations. This role is responsible for regulatory responses, customer complaint oversight, dispute and arbitration support, licensing and registrations, compliance training, continuing education programs, and other compliance support as needed. The Senior Compliance Officer assists the CCO with the firm’s compliance initiatives and leads key operational components of the firm's compliance infrastructure. #J-18808-Ljbffr Insight Global
Vacancy posted 7 hours ago
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