Job Description

Summary:
A growing full-service independent retail brokerage firm seeks an experienced Compliance Specialist.

Responsibilities:
Monitor, update, and enforce compliance policies and procedures
Assist in regulatory audits and branch audits
Interface with regulators
Supervise brokers/reps

Experience:
2+ years compliance experience, preferably in a B/D environment
Series 7 and 24 required

Candidates interested in applying to this role should e-mail 96t234@brokeragejobs.com.