About this role
Chief Compliance Officer at Moment. Location: New York City, New York, United States. Role: owning compliance, managing examinations, overseeing surveillance Requirements: Experienced CCO/Deputy CCO for SEC- or state-registered RIA/BD; Series 7, 24, 63 or 66; managed SEC/FINRA examinations; hands-on policy creation and product partnership. Category: Legal and Compliance Seniority: Senior Level Certifications: series 7, series 24, series 63, series 66 Commitment: Full Time Workplace: Onsite Languages: English