Broker Dealer Compliance Consultant
rnd resourcesUnited (WV)
About the role
Job Description:
We're growing, and we're looking for experienced broker-dealer FINOPs and compliance professionals. RND Resources has supported broker-dealers since 1985, and demand for our outsourced FINOP and compliance subscriptions is ahead of our bench. How it works:1⃣ Start as an independent consultant for 3–6 months, working on pre-sold client engagements. Fixed monthly fees, with no selling or chasing invoices.2⃣ We both decide whether it's a fit.3⃣ If approved, join RND as a W-2 employee with health, dental and vision options, a 401(k), and E&O coverage. Remote, in any state. What you'll have: Supervised AI tools that handle the busywork (rule tracking, deadlines, first drafts)A senior reviewer on key filings A manageable client load and a path to stability Looking for Series 27/28 (FINOP) and Series 24 or CCO experience, with hands-on broker-dealer work and a clean record. Your registrations are held through the RND client broker-dealers you serve, so active or reinstatable qualifications are required. Apply at compliance.cpa/careers.html, or message me directly. Referrals welcome.#FINOP #BrokerDealer #Compliance #FINRA #Hiring #RemoteJobs
Before you apply
Applying takes about a minute. These four things decide how fast it moves after that.
Your profile is current
It's what we read first. Occupations, seniority and locations matter more than a long history.
Two examples you can talk through
Not a portfolio — just two pieces of work where you can explain the decisions and what you'd change.
A number in mind
What you're on now and what would make you move. We negotiate better when we know both.
Your notice period
Employers plan around it, and it's the question that stalls offers most often.
Once you apply, someone reads it and calls you before anything reaches the employer — usually within two working days.
More like this