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Chief Compliance Officer – Royal Alliance at Advisor Group in Jersey City, NJ

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compensation:

$250K — $500K+*

specialty:

Auditing & Compliance

experience:

15+ years

Job Description

Summary:

The Chief Compliance Officer (CCO) is responsible for implementation of compliance programs for their specific broker dealer within Advisor Group.

The CCO will work closely with several key constituencies within Advisor Group including the Legal department, Network Compliance, Investment Advisory Compliance, Supervision Department and other departments as needed. The CCO position is located in our Jersey City, NJ office and report to the Advisor Group Chief Compliance Officer.

Responsibilities:

  • Providing compliance oversight to Royal Alliance Associates broker-dealer firm and Financial Professionals.
  • Developing an overall vision for compliance functional areas which effectively manages and mitigates risk.
  • Establish and monitor for adherence to policies and procedures to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure that Financial Professionals' ope
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Valid through: 7/7/2020

About Advisor Group

Total Jobs:
7
Total Experts:
3
Average Pay:
$118,888
Total value of jobs:
$1,070,000
% Masters:
18%
Learn More About Advisor Group
* Ladders Estimates