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Remote Chief Marketplace Compliance Officer

Company: VirtualVocations
Location: Racine
Posted on: September 14, 2022

Job Description:

A software development company has a current position open for a Remote Chief Marketplace Compliance Officer.

Core Responsibilities of this position include:
Developing, implementing and maintaining the Marketplace compliance program
Leading a team of qualified compliance professionals
Providing appropriate support, advice and training to relevant stakeholders
Qualifications for this position include:

5+ years of senior broker-dealer compliance experience in a compliance department of a registered broker-dealer
Thorough knowledge of Securities Act of 1933
Thorough knowledge of Investment Advisers Act of 1940, and other SEC/FINRA rules and regulations
Series 7, 24 (required)
Strong knowledge of control frameworks

Keywords: VirtualVocations, Racine , Remote Chief Marketplace Compliance Officer, Executive , Racine, Wisconsin

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