Chief Compliance & FINRA/SEC Oversight Leader

Comunidade Metodista; New York (NY); On-site; USD 180,000 - 260,000; Full time

Job summary

Comunidade Metodista in New York City seeks a Chief Compliance Officer to lead the compliance program and oversee all FINRA and SEC activities in coordination with our partner firms.

You will review advertising and promotional materials for regulatory compliance and ensure sales and advisory representatives act in accordance with laws and standards.

This is a full-time, on-site role offering a challenging environment with opportunity to shape our governance framework and risk controls.

Responsibilities

• Develop and manage the company’s compliance function with FINRA and SEC oversight.
• Coordinate review of advertising and materials for regulatory compliance.
• Ensure sales and advisory representatives act in accordance with applicable laws and standards.

Job description

Comunidade Metodista in New York City seeks a Chief Compliance Officer to lead the compliance program and oversee all FINRA and SEC activities in coordination with our partner firms.

You will review advertising and promotional materials for regulatory compliance and ensure sales and advisory representatives act in accordance with laws and standards.

This is a full-time, on-site role offering a challenging environment with opportunity to shape our governance framework and risk controls.