Senior Compliance Officer - Remote

Overview

The Senior Compliance Officer will oversee the compliance program at B. Riley Securities, ensuring adherence to regulatory standards and fostering a culture of compliance within the organization.

In Short

• Full-time position with 8+ years of experience required.
• Work closely with the Chief Compliance Officer.
• Manage and complete compliance projects.
• Develop and maintain compliance procedures.
• Conduct internal investigations into compliance violations.
• Perform regulatory research and draft reports.
• Foster a culture of compliance within the organization.
• Stay current on industry regulations.
• Supervise compliance team members.
• Provide compliance guidance on projects.

Requirements

• Bachelor's degree in Business, Law, Finance, or related field.
• 8-10 years of regulatory compliance experience.
• 3 years of supervisory experience preferred.
• Valid FINRA SIE, Series 7, Series 24 License preferred.
• Compliance certification preferred.
• Knowledge of consumer protection regulations.
• Strong communication and project management skills.
• Critical thinking and relationship management skills.

Benefits

• Competitive salary with quarterly bonus eligibility.
• Comprehensive benefits package including 401(k).
• Medical, dental, and vision coverage.
• Paid time off and holidays.
• Life and disability insurance.