About the role
Job Description Rapidly growing Financial Services firm based in Tampa, Florida is seeking a Chief Compliance Officer for a full-time position! \n \n Responsibilities: \n \n \n Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer. \n Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules. \n Advise senior management on regulatory developments, co…
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