Opportunity Details

The client, a financial services firm, is seeking an experienced Investment Sales and Compliance Officer to oversee their Broker-Dealer operations. Responsibilities include leading sales initiatives, developing business strategies, ensuring regulatory compliance, managing operations, and overseeing financial aspects. The ideal candidate should have active Series 7 and Series 24 licenses, at least 10 years of leadership experience in a Broker-Dealer, and expertise in regulatory frameworks and securities trading.

The Investment Sales and Compliance Officer will be responsible for driving revenue growth, expanding client relationships, and identifying new market opportunities. They will also need to create and implement a growth-oriented business strategy, ensure compliance with FINRA and SEC regulations, supervise daily trading operations, and manage profit and loss. Familiarity with trading platforms, RegTech solutions, and compliance software is preferred for this role.

At Goodwin Recruiting, the focus is on providing world-class customer service and helping clients navigate complex labor laws. The company is committed to considering all viable candidates for each hiring decision and ensuring that the most qualified candidate is selected. Diversity and uniqueness are valued, as they contribute to a stronger and more innovative team. The company has a track record of successfully identifying a broad slate of candidates and has many hiring success stories to share.