Chief Compliance Officer (CCO), Securities America
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About the Role
Locations:
Greater Omaha Area
;Greater Omaha Area
;Phoenix, Arizona Area (HQ)
Functions:
- Finance
- Legal
Known Requirements:
- 15 years of increasing broker dealer compliance & leadership experience required
- Prior experience of FINRA, SEC rules & regulations, State regulatory framework etc preferred
- Experience in conducting internal reviews, preparing written summaries & regulatory responses preferred
- Bachelor’s Degree in Business, Finance or related field required
- FINRA Series 7 & 24 required
- FINRA Series 65 & 66 preferred
Hiring Manager Title
Reveal to see
Travel %
Less than 10%
About the Company
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