Confidential
Head of Compliance
About the Company
A prominent financial services company with a rich history dating back to 1859.
Industry
Financial Services
Type
Privately Held
Employees
5001-10,000
Categories
Banking
Consulting
Financial Services
Insurance
Savings & Investing
Consulting & Professional Services
Investing
Investment Management
Financial Advisers
Tax Services
Risk Analysis
Employee Management
Asset Management
Finance
New York City
About the Role
The Company is on the lookout for an experienced Head of Compliance to join our dynamic team. This pivotal role involves overseeing the compliance program, ensuring adherence to regulatory requirements including those from FINRA, SEC, State, and Insurance department regulations. You will manage regulatory examinations and inquiries while leading a capable compliance team dedicated to providing daily support and handling licensing and registration processes.
The ideal candidate will possess a Bachelor's degree, along with FINRA Series 6 or 7 and 26 or 24 certification. A minimum of 7 years of substantial compliance experience, preferably in the wholesale distribution sector, is required. Strong expertise in SEC, FINRA, and State Insurance regulations, along with experience in variable individual and group annuity retirement markets, is essential.
We seek a proactive and self-motivated professional who can effectively juggle multiple priorities and align business needs with compliance requirements. Proficiency in Microsoft Office is a must.
Hiring Manager Title
Financial Chief Compliance Officer
Travel Percent
Less than 10%
Functions
Finance