Compliance Principal

NSCP Jobline,

Compliance Principal

Money Concepts Capital Corp.

Location: ONSITE - Palm Beach Gardens, FL

Full-Time and Onsite Position (no remote work)

Overview

The firm is an introducing-broker-dealer clearing through Pershing, LLC and an RIA firm registered with the SEC. Experience with Pershing, LLC is a plus. Position will focus on reviewing and approving new business as well as extensive back-end reviews through firm's surveillance program.

Minimum 5-years experience. Series 24 and 63 required; Series 65 or 66 a plus.

To apply: Email resume to: ComplianceAdmin@moneyconcepts.com