FINRA Licensed Compliance LeaderVirtualVocations • Fullerton, California, United States
FINRA Licensed Compliance Leader
VirtualVocations • Fullerton, California, United States
[job_card.variable_hours_ago]
[job_preview.job_type]
- [job_card.full_time]
[job_card.job_description]
A company is looking for a Senior Compliance Leader - Digital Securities.
Key Responsibilities
Oversee compliance operations for the broker-dealer and ATS
Conduct trade surveillance, communication reviews, and AML / KYC monitoring
Manage regulatory exams, audits, inquiries, and filings
Required Qualifications
Bachelor's degree in Finance, Accounting, Economics, Business, Law, or related field
Active FINRA Series 7 and Series 24 licenses
7+ years of compliance experience in a broker-dealer, ATS, exchange, or fintech trading environment
Hands-on experience with trade surveillance, supervisory reviews, and regulatory exams
Familiarity with digital securities or innovative trading platforms
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Compliance Leader • Fullerton, California, United States
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