The Chief Compliance Officer, Broker Dealers is responsible for implementation and maintenance of the tax channel compliance programs (multiple broker-dealers with combined total of 4500 financial advisors). They are also responsible for ensuring the Firm’s policies and procedures are followed regarding the products, processes, procedures and services offered.
What you will do:
Travel Requirements: Travel up to 30%
What you need to have:
What is nice to have:
Compensation Range:
The base annual salary range for this role is $215,000 to $230,000 plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
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