FINRA Licensed Compliance Manager
Company: VirtualVocations
Location: Kansas City
Posted on: January 28, 2025
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Job Description:
A company is looking for a Compliance Manager to oversee
compliance programs and regulatory requirements in a
FINRA-registered broker-dealer.
Key Responsibilities
Design, implement, and update compliance policies and
procedures
Serve as a point of contact for regulatory bodies and manage
examinations and audits
Perform supervisory reviews and conduct internal audits to assess
compliance adherence
Required Qualifications
Bachelor's degree in finance, business, law, or a related field
Minimum of 5-7 years of compliance experience in a broker-dealer or
financial services environment
FINRA Series 7, 24, or 27 licenses (or willingness to obtain)
Strong knowledge of FINRA and SEC rules and regulations
Demonstrated ability to build and manage compliance policies and
programs
Keywords: VirtualVocations, Kansas City , FINRA Licensed Compliance Manager, Executive , Kansas City, Kansas
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