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I am an experience compliance professional, currently hold series 6, 7, 24, 53, 63 & 65 licenses and California State Insurance license. I am driven to minimize risk for the firm and the client.
I am interested in a compliance position in a supervisory role for licensed brokers, as well as firm opperation personel with responsiblity for maintaining and updating regulatory procedures and ensuring said procedures are followed, to include working closely with upper level management in regard to current regulatory and compliance procedures.
Compliance Officer
About Me
Industry: |
Management & Business |
|---|---|
Occupation: |
Compliance Officer |
Ideal Companies: |
Broker-Dealers |
Education level: |
High School/GED |
Will Relocate: |
Yes |
Location: |
Trabuco Canyon, CA |
