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Job description
Aqua, the operating system for wealth channel alternatives, seeks a Chief Compliance Officer and General Counsel to lead compliance for our broker-dealer and serve as General Counsel. You will own the compliance function, interface with registered representatives, and drive audits and all regulatory matters.
Ideal candidates will have 5-8+ years in CCO roles within regulated financial services, a J.D., and Series 7/63/24/14 licenses.
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Worksite address
new york, NY, 10261, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.