SQN Global, LLC
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Blockchain • Fintech • Professional Services • Consulting • Financial Services • Cryptocurrency • Cybersecurity
Serve as outsourced Chief Compliance Officer for a fintech broker-dealer. Responsibilities include maintaining WSPs and compliance manuals, leading annual compliance activities and supervisory testing, managing FINRA and SEC exams, reviewing marketing and digital communications, overseeing AML, cybersecurity, Reg S-P, and vendor due diligence programs, advising on new products, and monitoring regulatory changes. Requires extensive broker-dealer compliance experience, active securities licenses, fintech knowledge, and strong communication skills.
