Senior Compliance Leader - Retail Brokerage & RIA

A leading financial services company in Denver is seeking a seasoned compliance officer with over 8 years of experience in a retail broker-dealer environment. This role involves regulatory oversight, leadership in compliance initiatives, and ensuring adherence to SEC and FINRA regulations. The ideal candidate must possess active Series 7, 24, and 66 licenses, alongside strong analytical and problem-solving skills. The company offers comprehensive benefits including a pension plan and tuition reimbursement. #J-18808-Ljbffr