Marketing Compliance Officer – Broker/Dealer (Hybrid)The TCW Group, Inc. • Los Angeles, CA, United States

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Marketing Compliance Officer – Broker/Dealer (Hybrid)

The TCW Group, Inc. • Los Angeles, CA, United States

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A financial services company in Los Angeles seeks an experienced AVP / VP, Marketing Compliance Broker / Dealer Officer to oversee marketing compliance and regulatory training. The ideal candidate will have over 6 years of relevant experience, a strong understanding of SEC and FINRA rules, and excellent communication skills. This role offers a salary range of $115K-$150K and a comprehensive benefits package.

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Marketing Compliance Officer BrokerDealer Hybrid • Los Angeles, CA, United States

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