Job Summary

• This role serves as a subject matter expert on securities industry regulations specifically focused on structured products from both broker-dealer and investment adviser perspectives.
• The successful candidate will lead the integration of GreensLedge into the enterprise compliance program while providing hands-on guidance to front-office professionals.
• The position offers a competitive salary range of $175,000 to $220,000 along with a comprehensive benefits package including medical, dental, vision, and retirement savings.

Matching Summary

Salary

Base: $175,000.00-$220,000.00; Bonus/Equity: Discretionary bonuses or commissions may apply; Benefits: Medical, dental, vision, life insurance, disability, retirement savings, paid time off

Skills & Requirements

Key Requirements

• Bachelor's degree required, Master's preferred
• Minimum 12 years compliance or legal experience
• Minimum 10 years management experience
• Knowledge of SEC, FINRA, and state regulations

Work Rights