A prominent financial services company is seeking a Chief Compliance Officer responsible for leading compliance for investment services. The role involves regulatory management, policy oversight, and team leadership, ensuring adherence to SEC and FINRA standards. The candidate should possess 15 years of experience in compliance and risk management and a bachelor’s degree. The position offers a salary range of $200,000 - $290,000 and comprehensive benefits including medical, dental, and paid leave.
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CCO: Regulated Broker-Dealer & RIA Leader in charlotte at Unknown Company
This position is listed as full time and onsite.