Senior Compliance Officer - Series 24 Job at Ascendo Resources, Fort Lauderdale, FL

dW8xZFhRbU83aE5FcHoyZkx0VHhGcGkvK2c9PQ==
  • Ascendo Resources
  • Fort Lauderdale, FL

Job Description

We are seeking a Compliance Officer to join an established broker dealer client of ours. The individual will be responsible for overseeing all Registered Advisors of the company. The ideal candidate will have a strong understanding of all securities regulations and be able to communicate effectively with all employees of the organization. On the day to day you will be responsible for:

  • Ensuring compliance with all applicable securities laws and regulations related to SEC & FINRA regulations
  • Collaborate with compliance team to develop and update compliance policies and procedures
  • Conduct regular office audits and assess any ineffective compliance matters and findings
  • Provide training and necessary coaching to advisors and employees of the company
  • Conduct regulatory reports and filings
  • Lead investigations of compliance violations and recommend corrective actions

Requirements

  • 5+ years of experience working as a compliance officer supervising Advisors or similar atmosphere
  • Hold valid series 7 and 24 license
  • Strong knowledge of securities regulations, including FINRA and SEC rules.
  • Bachelor's degree in related field

Job Tags

Similar Jobs

Harps Food Stores

Meat Cutter Job at Harps Food Stores

 ...Harps Food Stores - 301 TJ Stewart Dr. [Meat Clerk / Butcher] As a Meat Cutter at Harps Food Stores, you'll: Support meat department operations; Support meat department replenishment and inventory processes; Follow all company and food safety production guidelines for... 

CLevelCrossing

VP of Programmable Voice Job at CLevelCrossing

Posted onOct 08, 2020Apply for this jobyour email:upload resume:Profile Because you belong at Twilio.The Who, What, Why and WhereAt Twilio, our mission is to power the future of communications! We believe that communication should be at the heart of every product... 

Yale New Haven Health

ED Tech Job at Yale New Haven Health

Overview:To be part of our organization, every employee should understand and share in the YNHHS Vision, support our Mission, and live our Values. These values - integrity, patient-centered, respect, accountability, and compassion - must guide what we do, as individuals...

Chernoff Newman

Frontend WordPress Developer Job at Chernoff Newman

 ...meaningful communications that resonate with communities and drive results.Location:RemoteAbout the Role: We're looking for a WordPress Developer who will directly shape the digital presence of our clients' brands-building human-centric, visually dynamic, and accessible... 

Appen

Social Media Evaluator (Gig-Worker); Turkish-Turkey Job at Appen

 ...Join the CrowdGen team as an Independent Contractor for Project Uolo-P. Our project, detecting lies on Social Media, is all about getting people like you involved in finding and researching fake information online. We want to focus on things that happened recently and...