Senior Compliance Officer - Series 24 Job at Ascendo Resources, Fort Lauderdale, FL

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  • Ascendo Resources
  • Fort Lauderdale, FL

Job Description

We are seeking a Compliance Officer to join an established broker dealer client of ours. The individual will be responsible for overseeing all Registered Advisors of the company. The ideal candidate will have a strong understanding of all securities regulations and be able to communicate effectively with all employees of the organization. On the day to day you will be responsible for:

  • Ensuring compliance with all applicable securities laws and regulations related to SEC & FINRA regulations
  • Collaborate with compliance team to develop and update compliance policies and procedures
  • Conduct regular office audits and assess any ineffective compliance matters and findings
  • Provide training and necessary coaching to advisors and employees of the company
  • Conduct regulatory reports and filings
  • Lead investigations of compliance violations and recommend corrective actions

Requirements

  • 5+ years of experience working as a compliance officer supervising Advisors or similar atmosphere
  • Hold valid series 7 and 24 license
  • Strong knowledge of securities regulations, including FINRA and SEC rules.
  • Bachelor's degree in related field

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