Deputy Chief Compliance Officer, Broker-Dealer Risk & Policy
Jobtailor
Jobtailor seeks a seasoned Broker Dealer Compliance leader to manage day-to-day operations, respond to field inquiries, and coordinate policy updates. You will ensure adherence to FINRA/SEC rules, oversee risk monitoring, and drive remediation plans in collaboration with senior management and Shared Services. The role requires a strong background in compliance, 8+ years in broker-dealer oversight, and excellent communication. #J-18808-Ljbffr Jobtailor
Vacancy posted 2 days ago
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