About this opportunity
RND Resources Inc lists this Broker Dealer Compliance Consultant opportunity in atlanta, Georgia. Review the employer’s description below for duties, qualifications and application requirements.
Job description
We're growing, and we're looking for experienced broker-dealer FINOPs and compliance professionals.
RND Resources has supported broker-dealers since 1985, and demand for our outsourced FINOP and compliance subscriptions is ahead of our bench.
How it works:
1️⃣ Start as an independent consultant for 3–6 months, working on pre-sold client engagements. Fixed monthly fees, with no selling or chasing invoices.
2️⃣ We both decide whether it's a fit.
3️⃣ If approved, join RND as a W-2 employee with health, dental and vision options, a 401(k), and E&O coverage. Remote, in any state.
What you'll have:
✔ Supervised AI tools that handle the busywork (rule tracking, deadlines, first drafts)
✔ A senior reviewer on key filings
✔ A manageable client load and a path to stability
Looking for Series 27/28 (FINOP) and Series 24 or CCO experience, with hands-on broker-dealer work and a clean record. Your registrations are held through the RND client broker-dealers you serve, so active or reinstatable qualifications are required.
/careers.html, or message me directly. Referrals welcome.
#FINOP #BrokerDealer #Compliance #FINRA #Hiring #RemoteJobs
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.