Broker Dealer Compliance Consultant

We're growing, and we're looking for experienced broker-dealer FINOPs and compliance professionals.

Are you the right candidate for this opportunity Make sure to read the full description below.

RND Resources has supported broker-dealers since 1985, and demand for our outsourced FINOP and compliance subscriptions is ahead of our bench.

How it works:

1? Start as an independent consultant for 3–6 months, working on pre-sold client engagements. Fixed monthly fees, with no selling or chasing invoices.

2? We both decide whether it's a fit.

3? If approved, join RND as a W-2 employee with health, dental and vision options, a 401(k), and E&O coverage. Remote, in any state.

What you'll have:

Supervised AI tools that handle the busywork (rule tracking, deadlines, first drafts)

A senior reviewer on key filings

A manageable client load and a path to stability

Looking for Series 27/28 (FINOP) and Series 24 or CCO experience, with hands-on broker-dealer work and a clean record. Your registrations are held through the RND client broker-dealers you serve, so active or reinstatable qualifications are required.

Apply at compliance.cpa/careers.html, or message me directly. xhyhwjd Referrals welcome.

FINOP #BrokerDealer #Compliance #FINRA #Hiring #RemoteJobs