Compliance Officer - Advertising
TradeZero America, a growing broker dealer in the fintech space is seeking an experienced Compliance Officer for its New York office. The employee will report to the Chief Compliance Officer. The primary focus will be to assist the Compliance Department with reviewing and approving marketing materials as well as being responsible for assisting the compliance department in the firm regulatory priorities and compliance program to ensure compliance with FINRA and SEC guidelines, rules and regulations.
Some Responsibilities:
Qualifications:
...background is required, running and managing audits (AS9100, ISO 9001)~ Proficient in root cause and corrective action analysis; Lean Six Sigma belt / certification is a plus ~ Lean / Six Sigma is a plus ~ Knowledge of technology applications relevant to records...
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