Chief Compliance Officer
About the Company
An accomplished broker-dealer in the Financial Services industry, focused on excellence and integrity.
About the Role
We are looking for an experienced Chief Compliance Officer (CCO) to lead our compliance efforts. In this pivotal role, you will provide strategic direction on local, state, and federal regulations affecting financial institutions, with a specific emphasis on KYC, BSA, AML, and OFAC compliance. You will oversee a team responsible for Regulatory Compliance and Financial Crimes Compliance, proactively identifying and mitigating compliance risks, and ensuring the implementation of effective policies and procedures.
Your responsibilities will also include managing compliance audit tests, overseeing external audits, and working closely with various departments to resolve compliance-related issues. We invite applicants with a Bachelor's degree, Series 14 or 24 certification, and a minimum of 3 years of equity compliance experience within an investment bank or U.S. broker-dealer to apply. You should possess a deep understanding of SRO and SEC regulations, and have a proven track record in handling examinations, audits, and regulatory inquiries. The ideal candidate will demonstrate strong knowledge of equity products and thrive in a fast-paced, deadline-driven environment.
Additional responsibilities include overseeing compliance training programs, engaging in risk analysis, and presenting regular compliance reports to senior management and the Board of Directors.
Travel Percent
Less than 10%
Functions
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