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VP Compliance- FINRA

Company: Danos Consulting
Location: New York
Posted on: January 16, 2022

Job Description:

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.
    Qualifications
    • 5+ years of experience working with FINRA rules and regulations
    • Possess excellent communication skills with an ability to thrive in a fast-paced environment
    • Ability to anticipate and manage risks resulting from various investments
    • 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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