DallasRecruiter Since 2001
the smart solution for Dallas jobs

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.

  • 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


    • 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

Click here to apply!

Didn't find what you're looking for? Search again!

I'm looking for
in category

Log In or Create An Account

Get the latest Texas jobs by following @recnetTX on Twitter!

Dallas RSS job feeds