FINRA Licensed Chief Compliance Officer
Company: VirtualVocations
Location: Vista
Posted on: May 20, 2025
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Job Description:
A company is looking for a Chief Compliance Officer who will
lead the Compliance team and oversee compliance and regulatory
functions.
Key Responsibilities
Serve as the firm's FINRA-designated CCO, ensuring adherence to SEC
and FINRA regulations
Oversee the firm's Anti-Money Laundering program and conduct
compliance reviews and risk assessments
Lead compliance training programs and maintain the firm's Written
Supervisory Procedures
Required Qualifications
10+ years of experience in broker-dealer compliance, preferably in
capital raising for private funds
Current FINRA Series 24 (Principal) license required
In-depth knowledge of SEC, FINRA, and regulatory requirements for
limited-purpose broker-dealers
Experience managing FINRA/SEC examinations and regulatory
filings
Bachelor's degree required; JD, MBA, or equivalent experience
preferred
Keywords: VirtualVocations, Pico Rivera , FINRA Licensed Chief Compliance Officer, Executive , Vista, California
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