Asst. Chief Compliance Officer, Broker-Dealer Job

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Asst. Chief Compliance Officer, Broker-Dealer
Job# 2792
Location:  IA
Education Requirements:  Bachelor’s degree.
Other Requirements:  Include:

Salary Range:  $85k to $105k
Description:  This is a broker dealer compliance officer job description. Our Client, a family of financial services companies including two subsidiary broker-dealer firms servicing financial advisors across the U.S. has an immediate opening for an Assistant Chief Compliance Officer.  The Assistant Chief Compliance Officer will have compliance responsibilities within our Client’s Broker Dealers and the Registered Investment Advisors and will manage the Firm’s anti-money laundering program.  Duties and responsibilities include:

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