Aug 17, 2023
$55,000 - $65,000 yearly
Firm Summary: Independent Broker-Dealer firm based in Buckhead, GA. They offer Advisors Broker Dealer, services that includes providing a suite of Technology services and Support to over 200+ Financial Advisors. Financial advisors use their broker-dealer platforms to manage their book of client assets, accounts. Firm Accolades: Financial Planning has ranks this firm among the nation’s top IBDs, and Investment News, named them as one of the fastest-growing IBD's in the country. They are fast growing and have doubled in size over the past year. Great culture of people working and growing together to support their Financial Advisors. Opportunity to move up in the ranks quickly as firm expands in size and operations. Position Summary: I ndependent and Atlanta-based broker-dealer, is seeking a seasoned Compliance Principal with financial industry experience responsible for assisting in, but not limited to: the review and approval of new accounts, advertising and...
Chief Compliance Officer
Wall Street Careers Atlanta, GA, USA Full time