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