VP, SEC/FINRA Regulatory Controls & Operations

A leading financial services company is seeking a Regulatory Controls & Operational Oversight specialist in Miami, FL. This role involves managing SEC/FINRA regulatory compliance and operational risk, ensuring performance metrics adherence, and collaborating with various teams. Candidates should have a Bachelor's degree and 5-10 years of experience in a Broker Dealer environment. The position allows hybrid work with 3 days in the office. #J-18808-Ljbffr