FinTech Compliance Specialist – Broker-Dealer & RIA

A fast-growing financial services company in New York is seeking a skilled compliance professional to support its broker-dealer and registered investment adviser operations. This role involves conducting marketing reviews, ensuring regulatory compliance, and enhancing internal controls. The ideal candidate will have 3-5 years of financial services experience and hold FINRA Series 7 and 24 licenses. This is an excellent opportunity to contribute to a dynamic team in a rapidly evolving industry. #J-18808-Ljbffr