Compliance Officer Broker Dealer

Job Overview
We are a FINRA member institutional only M&A broker dealer seeking a detail-oriented and knowledgeable part-time contract Compliance Officer to join our team. The ideal candidate will play a critical role in ensuring that our organization adheres to all SEC and FINRA regulatory requirements and internal policies. This position involves monitoring compliance with FINRA and implementing effective compliance management strategies. The Compliance Officer will collaborate with our investment banking team to promote a culture of compliance.

Skills

• Strong understanding of FINRA regulatory rules.
• Proficiency in compliance management frameworks.
• Ability to interpret regulations and translate them into actionable policies.
• Experience minimum 5 years working as a Compliance Officer.

Job Type: Contract

Pay: $35.00 - $50.00 per hour

Expected hours: 10 – 30 per week

License/Certification:

• Series 24 (Required)

Work Location: Remote