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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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