We're growing, and we're looking for experienced broker-dealer FINOPs and compliance professionals.
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:
1️⃣ Start as an independent consultant for 3–6 months, working on pre-sold client engagements. Fixed monthly fees, with no selling or chasing invoices.
2️⃣ We both decide whether it's a fit.
3️⃣ 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. Referrals welcome.
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Broker Dealer Compliance Consultant in remote at Unknown Company
This position is listed as full time and able to be worked remotely.