Taylor Root is working with several well-regarded clients in the Financial Services space who are seeking specific talent in any of the following areas.

• Broker-Dealer Compliance (WSPs, licensing/registration, suitability)
• Marketing Review/Content Compliance
• Regulatory Compliance (Advisers Act and Investment Company Act)

These roles are all for mid-level compliance officers with years of experience between 6-12. While these roles have a hybrid component, they all require in-office 4 days a week. A Series 7 and 24 (preferred) are required.