US Head of Compliance & Regulatory Affairs (New York)
Full-time
QCP
QCP seeks a Head of Compliance for its US entity to design and oversee a comprehensive compliance program, acting as FINRA Principal with regulatory engagement across FINRA/SEC/CFTC/NFA. You will lead written supervisory procedures, ethics policies, and risk controls while ensuring lawful, compliant distribution of products.
Ideal candidates bring 8–12 years in broker-dealer/regulatory roles, FINRA licensing (Series 7/24; Series 66 preferred), and proven experience in WSPs, examinations, and
#J-18808-LjbffrVacancy posted 5 hours ago
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