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Sr. Compliance and Supervision Officer
Location
United States
Posted
14 days ago
Salary
Not specified
No structured requirement data.
Job Description
Job Requirements
- Bachelor’s degree in Finance, Business, or related field.
- Active FINRA Series 24 license required; Series 79, 82, and 63 strongly preferred.
- CAMS or equivalent AML certification preferred.
- Minimum 10 years of experience in broker-dealer compliance and supervision.
- Deep knowledge of FINRA and SEC regulations and demonstrated experience with regulatory inquiries or examinations.
- Experience supporting capital markets transactions in a broker-dealer environment.
- Strong regulatory judgment, accountability, and ability to manage complex or high-risk situations.
- Detail-oriented, organized, and capable of navigating shifting priorities in a fast-paced environment.
- Excellent written and verbal communication skills, with proficiency in regulatory systems such as FINRA Gateway and Google Workspace.
- Ability to work during Pacific Time Zone business hours (GMT -7).
Benefits
- 100% remote work flexibility.
- Competitive USD salary.
- High-speed internet allowance.
- Generous paid time off plus 17 additional flexible days.
- People team partner for personalized career development and growth planning.
- Buddy program and virtual team engagement activities.
- Inclusive and diverse company culture.
- Opportunity to work in a fast-paced, entrepreneurial environment with exposure to complex regulatory and capital markets work.
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