Green Key Resources

Compliance Specialist

Green Key Resources United States
Green Key Resources

Compliance Specialist

Green Key Resources United States
5 days ago
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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

Qualifications

  • 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)

  • Seniority level

    Mid-Senior level

  • Employment type

    Full-time

  • Job function

    Finance and Sales

  • Industries

    Staffing and Recruiting

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