Equity Stock Transfer, LLC in New York, NY is seeking a Chief Compliance Officer to own the SEC-registered transfer agent compliance program end to end. You will write procedures, test them, lead examinations from first request to closing letter, and report to the CEO and parent company.
You will manage forms TA-1/TA-2, records, depository notices, and the Regulation S-P program while collaborating with leadership on a strong, audit-ready control environment.
#J-18808-LjbffrCCO, SEC Transfer Agent — Lead Compliance Program (NYC) in new york at Unknown Company
This position is listed as full time and onsite.