Investment firm located in Downtown Los Angeles is seeking a Compliance Manager to join their office. Must have extensive knowledge of FINRA, MSRB and SEC laws, rules and regulations to ensure the firm remains in compliance with regulatory requirements and expectations. Series 7 License is required; 24 License is preferred. Extensive knowledge of broker-dealer and investment advisory businesses tailored towards Private Wealth, Correspond ent and Clearing, and Capital Markets.
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Hire Options Inc (formerly Legal Option Group/Corporate Option Group) was established in 1997 and is committed to serving the legal community in Los Angeles. Our clients and candidates receive our personal attention and a degree of assurance that can only come from our many years of experience filling positions in law firms – finding jobs for Administrators, Legal Secretaries, Paralegals, Word Processors, HR Managers, Records Clerks, Receptionists, Accounting personnel and more.
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