Chief Compliance Officer
Social Capital Resources · Tampa, Florida, United States
FULL TIMEpermanent
Job Description
Rapidly growing Financial Services firm based in Tampa, Florida is seeking a Chief Compliance Officer for a full-time position!
You could be just the right applicant for this job Read all associated information and make sure to apply.
Responsibilities:
Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.Advise senior management on regulatory developments, compliance risks, and control enhancementsManage an existing team of compliance professionals and continue building outLead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SECBuild and manage a high-performing compliance team supporting the broker-dealer
Qualifications:
Bachelor's Degree xzbcwsv 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.Prior experience in a fin-tech based firm is a plusPrevious management experience is a mustStrong and established experience working directly with the various regulators
You could be just the right applicant for this job Read all associated information and make sure to apply.
Responsibilities:
Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.Advise senior management on regulatory developments, compliance risks, and control enhancementsManage an existing team of compliance professionals and continue building outLead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SECBuild and manage a high-performing compliance team supporting the broker-dealer
Qualifications:
Bachelor's Degree xzbcwsv 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.Prior experience in a fin-tech based firm is a plusPrevious management experience is a mustStrong and established experience working directly with the various regulators
Details
| Company | Social Capital Resources |
| Location | Tampa, Florida, United States |
| Type | FULL TIME |
| Niche | finance |
| Experience | permanent |