Deputy Chief Compliance Officer
Company: VirtualVocations
Location: Vista
Posted on: May 24, 2025
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Job Description:
A company is looking for a Deputy Chief Compliance Officer,
responsible for developing and administering the firm's Compliance
Program.
Key Responsibilities
Assist in the development and maintenance of the firm's compliance
program
Manage compliance projects and oversee internal investigations into
compliance violations
Supervise Compliance Team members and provide coaching and
mentoring as needed
Required Qualifications, Training, and Education
Bachelor's Degree from an accredited institution required
Current admission in good standing to the State Bar of at least one
U.S. state required
Minimum of 10 years of regulatory compliance experience in the
securities industry required
Minimum of 3 years of supervisory experience required
Strong understanding of relevant federal securities laws and
fiduciary governance principles
Keywords: VirtualVocations, Carlsbad , Deputy Chief Compliance Officer, Executive , Vista, California
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