Senior Compliance Officer
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About The Position
The Senior Compliance Officer acts as a resource and subject matter expert for brokerage and investment advisory business and coordinates with our Registered Representatives, Advisors, Home Office Departments, and other Compliance Officers. This role has primary responsibility for the continued development and enhancement of the firm’s advisor-facing compliance strategy and works closely with the Chief Compliance Officer as well as business unit leaders to integrate compliance protocols to ensure that Sanctuary Wealth complies with existing and new applicable federal, state, FINRA, and SEC laws, rules, and regulations. This role can be based in any of the following cities: Indianapolis, IN, Miami, FL; Omaha, NE; San Antonio, TX; Remote, based on experience.
