Apply for the Compliance Officer position
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Office Status: Hybrid (3 days per week in office)
Salary: $160,000
Responsibilities:
- Develop and perform surveillance and supervisory reviews across multiple subject matters.
- Coordinate and work with our inquiry team on related inquiries.
- Drive compliance innovation initiatives with a focus on greater automation, increased efficiency, and trend analysis.
- Strong working knowledge of broker-dealer regulation, including securities and commodities laws and SEC, CFTC, and SRO Rules.