- New York, New York, United States
- Principal
- $120K–$130K per year
- 5+ years
Principal Consultant-Broker Dealer Compliance
Compensation
Salary Range: $120,000.-$130,000 plus bonus
Responsibilities
- Provide consulting to broker-dealer clients on an ongoing or project basis
- Customize policies and procedures and lead clients in maintaining best-in-class compliance programs
- Complete onsite examinations, testing, and other onsite client visits as required
- Assist clients in completing FINRA New Member or Continuing Membership Application
- Assist with business development by providing technical expertise and industry knowledge
Requirements
- Bachelor’s degree, preferably in a related field