Investment Sales and Compliance Officer

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Our client's well-established financial services firm specializing in custodial and trust solutions, is seeking an experienced and highly qualified Investment Sales and Compliance Officer to lead their Broker-Dealer operations. This individual will oversee all aspects of the firm’s strategy, operations, and regulatory compliance. The Investment Sales and Compliance Officer will ensure full adherence to FINRA and SEC regulations while driving growth and operational excellence in stock, bond, and mutual fund trading services.

Investment Sales And Compliance Officer Compensation & Benefits

• Competitive base salary in the $180-210k range
• 15% commission
• Comprehensive benefits package
• Fully remote role
  
  

Investment Sales And Compliance Officer Responsibilities

• Sales & Business Development: Drive revenue growth by leading sales initiatives, expanding client relationships, and identifying new market opportunities.
• Strategic Leadership: Develop and execute a growth-focused business strategy for the Broker-Dealer.
• Regulatory Compliance: Maintain full compliance with FINRA, SEC, and other regulatory requirements; serve as the firm’s General Principal.
• Operations Management: Oversee day-to-day trading, risk management, and client service functions.
• Financial Oversight: Manage P&L, budgeting, and financial planning to ensure fiscal health and sustainability.
• Technology & Innovation: Implement modern trading platforms and compliance technology to enhance efficiency.
  
  

Investment Sales And Compliance Officer Qualifications

• Licenses: Active Series 7 and Series 24 licenses required (other FINRA licenses a plus).
• Experience: Minimum 10 years in Broker-Dealer leadership, with a proven track record in compliance, operations, and sales results.
• Expertise: Deep understanding of regulatory frameworks, risk management, and securities trading.
• Technology Acumen: Experience with trading platforms, RegTech solutions, and compliance software preferred.
  
  

At Goodwin Recruiting, we are committed to our core values and providing world class customer service. We are committed to helping our clients navigate and comply with the complex and ever-changing labor laws as well as help ensure that in every hiring decision, internally and with our client partners, that all viable candidates are considered, and the most qualified candidate is offered the role. We evaluate the knowledge, skills, and abilities that meet the requirements of the position and aim to open doors and change lives. We value all people, understanding that uniqueness and diversity foster a stronger team that is innovative and brings varying perspectives to the table. We put our money where our mouth is and are proud of our efforts to identify a broad slate of candidates, with many hiring success stories to share. JOB ID: 154283 #post

Jana Walker

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, $180,000 - $210,000,