Base: $54 - $80 ph; bonus/equity: not specified; b...
Broker-dealer and ria compliance
Second line of defense
Risk-based compliance reviews
This role will operate in the second line of defense, providing independent oversight, testing, and challenge of Broker-Dealer and RIA compliance programs for banking and wealth management clients
Job Summary
This role will operate in the second line of defense, providing independent oversight, testing, and challenge of Broker-Dealer and RIA compliance programs for banking and wealth management clients.
Perform risk-based compliance QA reviews across Broker-Dealer and RIA environments, validating regulatory compliance with SEC, FINRA, Reg BI, Form CRS, and Investment Adviser Act requirements.
We offer flexibility in your schedule, empowering you to balance life’s demands, while also maintaining your ability to serve clients.
Matching Summary
This role will operate in the second line of defense, providing independent oversight, testing, and challenge of Broker-Dealer and RIA compliance programs for banking and wealth management clients.
Salary
Base: $54 - $80 per hour; Bonus/Equity: Not specified; Benefits: Not specified
Skills & Requirements
Must-have
Broker-Dealer and RIA compliance
Second line of defense
Risk-based compliance reviews
Regulatory compliance validation
Independent oversight and testing
Nice-to-have
Client-delivery environment
Fast-paced work
Team collaboration
Professional development
Key Requirements
5+ years securities compliance experience
Second line of defense experience
Broker-Dealer and RIA regulatory knowledge
Experience supporting large financial services organizations