Director of Product Compliance/CCO

Company: Dagen Personnel
Location: Dallas
Posted on: May 28, 2023

Job Description:

A financial services firm is seeking a candidate who will assist in all compliance related matters for the company and its affiliates.
Responsibilities

Manage all regulator exams and inquiries
Develop overall strategic program for compliance to mitigate risks
Ensure ongoing compliance with federal and state laws and regulations
Prepare filings
Manage and implement policies in the compliance program
Handle compliance related tasks as needed

Qualifications
- Bachelor's degree
- Extensive knowledge of SEC and FINRA rules and regulations associated with wholesale, retail, and managing broker dealer activities
- 5+ years' experience as a chief compliance officer or similar experience at a broker dealer
- Experience in the distribution of both publicly registered and privately placed securities
- Experience at the SEC or FINRA is a significant plus
- Law degree a significant plus
- Series 7, 14, 24 licenses

Keywords: Dagen Personnel, Dallas , Director of Product Compliance/CCO, Executive , Dallas, Texas

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