VP Compliance- FINRA
Company: Danos Consulting
Location: New York
Posted on: January 16, 2022
Our client, a financial services firm, has engaged Danos
Consulting in a search for a VP of Compliance with a focus on FINRA
rules and regulations on a contract-to-hire basis. As a FINRA SME
with this firm you will be responsible for:
- Providing regulatory expertise on the requirements of FINRA
rules and regulations.
- Implement and maintain regulatory supervisory programs in
compliance with FINRA Rules 3110, 3120 and 3130
- Monitoring and maintaining compliance programs to ensure
compliance with securities laws and applicable FINRA rules.
- Analyzing the regulatory environment for updates that might
apply to the organization.
- 5+ years of experience working with FINRA rules and
- Possess excellent communication skills with an ability to
thrive in a fast-paced environment
- Ability to anticipate and manage risks resulting from various
- Excellent Microsoft Office Skills
- Ability to communicate clearly and concisely to internal
business units outside of the compliance team
Keywords: Danos Consulting, New York , VP Compliance- FINRA, Executive , New York, New York
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