Compliance Manager — Broker-Dealer & SEC Compliance
Rothschild Wealth Partners
A boutique financial firm is seeking a Compliance Manager to support compliance programs focused on advisor licensing and registration. The role requires 2-5+ years in broker-dealer or securities compliance and involves responsibilities like onboarding, audits, and managing compliance systems. Ideal candidates will hold FINRA Series 24 and have strong documentation skills. A comprehensive benefits package is offered, reflecting the firm's dedication to employee well-being and growth. #J-18808-Ljbffr Rothschild Wealth Partners
Vacancy posted 5 days ago
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