ARQ ( Prev DolarApp )5 ч назад

Brokerage and RIA Chief Compliance Officer

Зарплата не указана

Формат: Гибрид
География найма: New York

Мэтч и сопроводительное

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Описание вакансии

Коротко о роли

ARQ is looking for a Chief Compliance Officer to lead securities compliance programs and regulatory readiness for its investment adviser and broker dealer.

Responsibilities: — Lead securities compliance programs and ensure regulatory readiness for the investment adviser and broker dealer. — Oversee clearing, regulatory filing, BSA compliance, RIA and broker-dealer regulations. — Manage supervision, investment advice compliance, securities compliance, SEC regulations, and risk assessment. Requirements: — Knowledge and experience with FINRA, AML, Series 24, and related regulatory frameworks. Benefits: — Hybrid work format in New York. The role involves leadership in compliance for securities and investment advisory operations, ensuring adherence to regulatory standards and risk management.

Контакты работодателя доступны по кнопке «Откликнуться» после входа.

Слабая вакансия

Оценка от Job Hunters AI

Brokerage and RIA Chief Compliance Officer; слабое описание; зарплата не указана; понятные задачи; гибкий формат.

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Слабое описание

Описание работы очень краткое и не раскрывает конкретных задач, объём работы и условия остаются неясными.

Из объявления

ARQ ( Prev DolarApp ) [контакт] is hiring a hybrid Brokerage and RIA Chief Compliance Officer [контакт] in New York … ARQ is looking for a Chief Compliance Officer to lead securities compliance programs and regulatory readiness for its investment adviser and broker dealer.