Job description
**Job Title: Compliance Officer**
The Compliance Officer is responsible for ensuring that the organization and its advisors comply with regulations set forth by federal and state authorities, as well as those from the SEC, FINRA, and MSRB. Key responsibilities include the evaluation of advertising materials, the execution of policy testing, and providing assistance during both internal and external audits. Applicants must have a Bachelor’s degree and hold licenses including Series 7, 66 (or 63/65), and 24 (or 9/10). A minimum of five years of experience within the financial services sector is essential.
