Senior Compliance Officer - Broker Dealer Job at Social Capital Resources, Charlotte, NC

VXYrNUtBMmlqc0VaUmZ1RXFlZkRBY2Y0d2c9PQ==
  • Social Capital Resources
  • Charlotte, NC

Job Description

Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.

Key Responsibilities:

  • Regulatory Compliance: Ensure the firm complies with all applicable Client and SEC regulations, including reporting and disclosure obligations.
  • Policy Development: Develop, implement, and maintain compliance policies and procedures tailored to the broker-dealer environment.
  • Risk Assessment: Conduct regular risk assessments and compliance audits to identify and mitigate potential compliance risks.
  • Training and Education: Design and deliver compliance training programs for employees to promote a culture of compliance and awareness of regulatory requirements.
  • Monitoring and Reporting: Oversee monitoring activities and prepare reports for senior management and regulatory authorities as needed.

Job Tags

Similar Jobs

Phoenix Global

Fire Watch Specialist Job at Phoenix Global

 ...Job Description Job Description Phoenix Global is looking to hire a responsible safety driven professional as a Fire Watch Specialist to be responsible for continuously observing hot work activity to detect and respond to fires during hot work operations. JOB... 

Kaiser Permanente

Psychological Assistant - DBT and Child Reassessment Coordinator Job at Kaiser Permanente

 ...conducts psychoeducational classes and groups. May conduct psychological assessments, including test administration, interpretation,...  ...License (California) within 24 months of hire ~ Psychological Assistant Registration (California) required at hire Additional... 

Cone Health

Director Job at Cone Health

 ...to achieve patient outcomes/care and to promote professional development/practice of staff. Incorporates the Nursing Department...  ...revision. Assures the following human resource functions meet organizational guidelines. Position control, Interviewing, Hiring, Scheduling... 

Bloomberg

Senior Software Engineer - DDI Platform Job at Bloomberg

 ...achieve objectives and required service levels and performance Proactively research and...  ...Youll need to have: A degree in Computer Science, Engineering or related technology...  ...Python frameworks like Flask and FastAPI Entry level knowledge with DNS and Load balancing... 

Network Designs

Senior Technical Recruiter Job at Network Designs

Join Our Team as a Senior Technical Recruiter! Location: This position is hybrid and will require working on site in McLean, VA at least twice a week.Job Description:Network Designs, Inc. seeks a skilled and experienced Technical Recruiter to join our dynamic team....