[ legal ]
Chief Compliance Officer and General Counsel
Aqua- Location
- New York, New York, Us
- Work mode
- On-site
- Type
- full time
- Listed
Applications go directly to Aqua. Ramai takes no fee for placement and no money for ranking.
[ About this role ]
Aqua is seeking a Chief Compliance Officer and General Counsel to lead compliance for their broker-dealer and act as General Counsel. This executive role requires owning the compliance function, preparing contracts, and collaborating with leadership in a highly-regulated financial services environment.
Skills and focus areas
- compliance
- legal
- broker-dealer operations
- registered representative onboarding
- finra interaction
- audits
- contract preparation
- due diligence
- interpersonal skills
- relationship building
- jd
- series 7
Summary written by Ramai from the original posting. Full details and requirements are on Aqua’s careers page.
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The Operating System for Alternative Investments
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