CCO/San Diego, CA (in-office only): Independent broker -dealer/registered investment advisor seeks a CHIEF COMPLIANCE OFFICER. Must have a bachelor’s degree, Series 7, 24, 66 (or 63/65), and a minimum of ten years experience. Create and maintain WSPs designed for compliance with SEC, FINRA, state and other SROs. Annual ADV filings. Surveillance, Investment Advisors Act of 1940, insurance and alternative products. Ensure that software technology is effectively in place. Base salary $175-225k plus revenue sharing and 3-5% yearly cost of living increase. Contact David Reitman, DLR Associates (914) 693-9165, david@dlrassociatesrecruiting.com.
...license. DWC modules/CPR/AED is required within 30 days. Negative TB Test. Minimum of 2 years of child care required. Excellent professional references. Experience in ABA is a plus! Qualifications: ~ Minimum of HS Diploma proof and transcripts....
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