Outsourced Consultant: Chief Compliance Officer Broker-Dealer

SQN Global, LLC is seeking an experienced compliance professional to serve in an outsourced Chief Compliance Officer capacity for our broker-dealer clients. This is a hands-on role for someone who thrives on ownership, juggling multiple engagements, and partnering closely with client firms to keep them in step with FINRA and SEC requirements.

Do you have experience in Productivity software?, · Active Series 24, Series 79, and Series 4 licenses (required).

· Demonstrated experience with FINRA and SEC regulatory requirements.

· Prior experience serving in a Chief Compliance Officer capacity is extremely helpful.

· Strong proficiency in Microsoft Office products (required); working knowledge of Asana is a plus.

What will make you successful

· Strong time management across competing priorities.

· A bias toward taking initiative on assigned projects.

· Strong interpersonal skills.

· The ability to work effectively as part of a team.

What will set you apart

Candidates with experience in FinTech, Options, and Investment banking will have a strong advantage in securing an interview.