About this opportunity
UNAVAILABLE lists this Senior Compliance Lead for Investment Advisory opportunity in miami, Florida. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Join our team as a Senior Compliance Officer, supporting the retail business lines of StoneX Wealth Management and StoneX Group in Miami, Florida. You will provide guidance on the Code of Ethics and Written Supervisory Policies while ensuring compliance with established guidelines.
The ideal candidate will possess strong communication skills and a high level of proficiency in MS Excel. This role requires a Bachelor’s degree and 5 years of relevant experience in compliance or the financial industry, with preferred qualifications including FINRA Series licenses.
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Worksite address
miami, FL, 33222, US
Who can apply
Review the original listing for work authorization, qualifications and employer requirements.