Brokerage and Ria Cco
DolarApp- Location
- Remote
- Work mode
- Remote
- Type
- full time
- Listed
Applications go directly to DolarApp. Ramai takes no fee for placement and no money for ranking.
[ About this role ]
Chief Compliance Officer for DolarApp's US investment compliance functions. This role serves as CCO for an SEC-registered investment adviser and the proposed CCO for an introducing broker-dealer. Responsibilities include overseeing the RIA's compliance program, leading the broker-dealer application process, and building the supervisory framework for launch.
Skills and focus areas
- investment compliance
- sec-registered rias
- finra broker-dealers
- digital investment platforms
- clearing broker relationships
- compliance policies
- risk assessment
- monitoring
- testing
- written supervisory procedures
- finra new member application (nma)
- bsa/aml
Summary written by Ramai from the original posting. Full details and requirements are on DolarApp’s careers page.
[ More at DolarApp ]
The Financial App for affluent consumers in Latin America.
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