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Job ID Number: 1258649070
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Director of Compliance/Chief Compliance Officer |
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| Job Title: |
Chief Compliance Officer – IA and Broker-Dealer |
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| State/Location: |
Alabama |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Rapidly growing Registered Investment Advisor and Broker Dealer located in Alabama seeks a Chief Compliance Officer.
The firm seeks a Chief Compliance Officer with at least ten years of experience with both Broker Dealer and Investment Advisors Act experience.
The candidate should have experience with an investment advisor, asset management firm or money management division of a broker-dealer. Since the firm has a limited purpose broker-dealer it would be helpful to also have Compliance experience at a brokerage firm.
Please email resumes to Jack Kelly at jkelly@ComplianceSearch.com
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