Compliance Specialist
Green Key Resources
United States
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Responsibilities/Job Duties
- Performs compliance reviews in accordance with firm policy and applicable regulatory requirements as required.
- Responsible for registering broker dealer representatives.
- Assist with compliance audits
- Ad hoc projects
- Bachelor’s Degree in Accounting, Business Management, Finance, or related field
- Must have, or be willing to obtain a compliance certification
- 1-10 years of experience in broker dealer compliance
- Series 7 and 24 highly preferred (must obtain within 12 months)
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Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Finance and Sales -
Industries
Staffing and Recruiting
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