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© All Rights Reserved. ApplyBlast.com
Ocean Bank
The General Securities Principal ensures compliance with FINRA, SEC, and other regulatory requirements while promoting sound sales practices and a strong culture of compliance. This role involves supervising securities compliance and risk management activities for registered representatives and investment-related operations. The position requires hands-on industry experience to identify, escalate, and resolve regulatory, trading, and sales practice concerns.
Achieve your financial goals with our personal & business banking services in Florida.
Headquarters
San Francisco, CA
Company Size
201-500 employees
Founded
2018
Industry
Technology
Glassdoor Rating
4.2 / 5
Sarah Johnson
Chief Executive Officer
Michael Chen
Chief Technology Officer
Emily Williams
VP of Engineering
David Rodriguez
VP of Product
Jessica Thompson
Chief Financial Officer
Andrew Park
VP of Sales
View leadership team, funding history,
and employee contacts for Ocean Bank.
Ocean Bank didn’t post a salary, so this is our estimate from similar listings.