Senior Compliance Officer
The current posting asks for:
Minimum Experience: At least 5-7 years of progressive experience in brokerage industry compliance, risk or supervisory roles, with a proven ability to manage risk or regulatory obligations and supervisory controls effectively.
Education: Bachelor’s degree in business administration, finance, law, or a related field is required.
Regulatory Knowledge: Deep understanding of FINRA, SEC, and state regulatory requirements or financial risk concepts and practices related to credit, counterparty or exposure monitoring, with demonstrated experience interpreting and applying these rules to broker-dealer operations.
Read the employer’s full posting · Posted 2026-11-07
