Deputy Chief Compliance Officer

Quantum Group

Not specified; not specified; competitive compensa...
Not specified
Active finra sie and series 6 or 7 registration
Series 14 license required within 6 months
Series 26 or 24 license required within 6 months
The Deputy Chief Compliance Officer at Quantum Group will support the compliance program in a wholesale broker-dealer environment, collaborating closely with senior leadership to ensure regulatory adherence and promote a compliance-focused culture. The ideal candidate should have a strong background in compliance, particularly within wholesale distribution, and possess multiple required FINRA registrations

Job Summary

  • The Deputy Chief Compliance Officer supports the design and oversight of the firm's compliance program within a wholesale broker dealer model.
  • This role partners closely with senior leadership to promote a strong culture of compliance and ensure adherence to applicable regulatory requirements.
  • Integrity offers a competitive compensation package and opportunities for professional acceleration in a family-like, cutting-edge environment.

Matching Summary

Match Score: 85

The Deputy Chief Compliance Officer at Quantum Group will support the compliance program in a wholesale broker-dealer environment, collaborating closely with senior leadership to ensure regulatory adherence and promote a compliance-focused culture. The ideal candidate should have a strong background in compliance, particularly within wholesale distribution, and possess multiple required FINRA registrations.

Salary

Not specified; Not specified; Competitive compensation package including benefits

Skills & Requirements

Must-have

  • Active FINRA SIE and Series 6 or 7 registration
  • Series 14 license required within 6 months
  • Series 26 or 24 license required within 6 months
  • Minimum 3 years broker dealer compliance experience
  • Wholesale distribution activity knowledge

Nice-to-have

  • Life and Annuity Insurance license preferred
  • Solutions-oriented mindset with business partnership
  • Ability to remain calm under pressure
  • Strong influence on organizational culture change
  • Experience with hyper-growth company environments

Key Requirements

  • Active FINRA SIE and Series 6/7
  • Series 14 (obtainable within 6 months)
  • Series 26 or 24 (obtainable within 6 months)
  • 3+ years broker dealer compliance experience
  • Life and Annuity Insurance license (preferred)

Work Rights

Not specified

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