Compliance Specialist
Compliance Specialist
Green Key Resources
United States
See who Green Key Resources has hired for this role
Green Key Resources provided pay range
This range is provided by Green Key Resources. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.
Base pay range
$70,000.00/yr - $90,000.00/yr
Responsibilities/Job Duties
- Performs compliance reviews in accordance with firm policy and applicable regulatory requirements as required.
- Responsible for registering broker dealer representatives.
- Assist with compliance audits
- Ad hoc projects
- Bachelor’s Degree in Accounting, Business Management, Finance, or related field
- Must have, or be willing to obtain a compliance certification
- 1-10 years of experience in broker dealer compliance
- Series 7 and 24 highly preferred (must obtain within 12 months)
-
Seniority level
Mid-Senior level -
Employment type
Full-time -
Job function
Finance and Sales -
Industries
Staffing and Recruiting
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