About this role
Senior Compliance Officer at Trustetc. Location: Dallas, Texas, United States. Role: Reviewing procedures, Preparing reports, Regulatory filings Requirements: 5-7 years brokerage compliance/risk experience; FINRA/SEC knowledge; bachelor’s degree; securities licenses required or to be obtained. Category: Finance and Accounting Seniority: Senior Level Tools: FIS, LexisNexis, Microsoft Office (Excel, Word, PowerPoint, Outlook), Surveillance and monitoring tools, Regulatory reporting systems, CRM platforms, Hadrius, Smarsh, Protegent Certifications: finra series 7, finra series 24, finra series 63, series 4, series 14, series 51, series 53 Commitment: Full Time Workplace: Hybrid Languages: English