Chief Compliance Officer
Full-time
Social Capital Resources
Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position!
Responsibilities:
- Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.
- Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.
- Responsible and accountable for the design, implementation, administration, and effectiveness of the broker-dealer compliance program
- Advise senior management on regulatory developments, compliance risks, and control enhancements
- Manage an existing team of compliance professionals and continue building out
- Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC
- Build and manage a high-performing compliance team supporting the broker-dealer
Qualifications:
- Bachelor's Degree
- 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.
- Strong knowledge knowledge of FINRA rules, SEC regulations, and broker-dealer supervisory requirements
- Prior experience in a fin-tech based firm is a plus
- Previous management experience is a must
- Must have a Series 7 & 24
- Strong and established experience working directly with the various regulators
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Chief Compliance Officer in New York, NY vacancy
$250k - $300k
...Chief Compliance Officer (New York, NY): Our client, a leading global alternative asset manager, is seeking a Chief Compliance Officer to lead its compliance function. With a global presence and over $100B in assets, the CCO will be a senior, hands-on leader who will...SuggestedFull timeWork at officeCardea Group
New York, NY1 day ago- ...Chief Compliance Officer (with potential for a counsel title) - New York, NY: Our client, a leading wealth management firm, is seeking a Chief Compliance Officer to join their legal and compliance team. This individual will oversee the firm's regulatory compliance, legal...SuggestedFull timeWork at office
Cardea Group
New York, NY1 day ago $170.26k - $200.3k
...what you excel at—all from Day One.Job DescriptionThis position within the Governance and Control team will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds. This position is responsible...SuggestedFull timeWork at officeLocal areaRemote workFlexible hours3 days per weekUS Bank
New York, NY3 days ago- ...My client, a rapidly expanding hedge fund, is looking to hire a Chief Compliance Officer into it's New York office. They are capitalising on consecutive years of stellar performance and expanding their presence in the US, having already built out their operations in...SuggestedFull timeWork at office
Mondrian Alpha
New York, NY4 days ago $300k
...Updated! Job Title: Chief Compliance Officer-Healthcare Hedge/Venture Fund More Detail: Female Founded -New Launch -will be the firm's first Compliance Hire -CCO Candidates must have at least 6 years of life science/healthcare fund compliance from an outsourced...SuggestedFull timeWork at officeImmediate startRemote workRelocation packageShift workHudson Gate Partners
New York, NY2 days ago- ...About the Job zerohash is seeking a Global Chief Compliance Officer, who will help shape and lead zerohash global compliance leadership team and posture and orchestrate adherence to industry-leading compliance standards across all supported geographies. This broad role...Work from home
Zero Hash
New York, NY3 days ago - ...Chief Compliance Officer (CCO) About the Company Fast-scaling global fintech trading platform spanning trading, clearing, and digital assets Industry Capital Markets Type Privately Held About the Role The Company is seeking a Chief Compliance Officer...
- ...Chief Compliance Officer (CCO) About the Company Global fintech trading brand and fast-scaling institutional brokerage platform spanning trading, clearing, and digital assets Industry Financial Services Type Public Company About the Role The Company...
- ...Chief Compliance Officer (CCO) About the Company Internationally renowned digital asset platform Industry Financial Services Type Privately Held About the Role The Company is in need of a Chief Compliance Officer to take on a pivotal role in leading...
- ...Chief Compliance Officer (CCO) About the Company Respected broker-dealer Industry Financial Services Type Privately Held About the Role The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible...
- ...Chief Compliance Officer (CCO) About the Company Rapidly growing alternative investment firm at the intersection of financial services and digital assets Industry Financial Services Type Privately Held About the Role The Company is seeking a Chief...
- ...Chief Compliance Officer (CCO) About the Company U.S. retail brokerage with broker-dealer compliance and digital assets focus Industry Capital Markets Type Privately Held About the Role The Company is seeking a Chief Compliance Officer to lead regulatory...
- ...Chief Compliance Officer (CCO) About the Company A rapidly growing alternative investment firm at the intersection of financial services and digital assets. Industry Investment Management Type Privately Held About the Role The Company is in search...
- The US head of Compliance (Chief Compliance Officer) is a senior leadership role responsible for designing, implementing, and overseeing the firm’s comprehensive compliance framework in New York. This position plays a critical role in ensuring the organization’s adherence...
- Gemini is seeking a Head of Consumer and Lending Compliance to lead the compliance program for deposit and lending products, including crypto rewards cards. You will shape a scalable strategy, ensure alignment with consumer finance regulations, and liaise with product,...
- ...Deputy Chief Compliance Officer Location: San Francisco Bay Area OR New York, New York Our client is a multibillion-dollar alternative investment firm seeking a Deputy Chief Compliance Officer to play a significant role in building and advancing its compliance program...
Fernridge Group
New York, NY4 days ago - City University of New York is seeking a Chief Diversity Officer (HEO) to lead EEO/AA policy implementation, investigations, and diversity initiatives... ...with Legal Affairs, HR, and Public Safety, and ensure compliance with federal and state laws, including Title VI, VII, IX,...
- Mira Mace is seeking a part-time Head of Compliance to own our regulatory posture as we scale. You will set policies, review work, train the team, and respond when rules change or payers ask hard questions. This senior, hands-on role requires deep Medicare/Medicaid and...Remote jobPart time
- Salient Group seeks a Chief Compliance Officer for its U.S. retail broker-dealer segment in New Jersey. The leader will own the regulatory and supervisory backbone, with direct Board access and responsibility for regulator relationships. You will oversee examinations,...
- LaGuardia Community College seeks a visionary Chief Diversity Officer to lead the Office of Diversity and Compliance, guiding EEO/AA, Title IX, and related regulatory programs across the campus. Reporting to the President, the CDO will develop and implement policies, train...Work at office
- ...Chief Compliance Officer (CCO), Legal Counsel About the Company A growing investment management firm building compliance and legal functions for SEC registration Industry Financial Services Type Privately Held About the Role The Company is seeking...
- ...We are actively recruiting for an seasoned banking Compliance professional to function as Deputy Chief Compliance Officer. Candidates should be in a Lead or Managerial Role in Commercial Banking .Reporting to the Chief Compliance Officer, the Deputy Chief Compliance Officer...
Banking Careers
New York, NY3 days ago $200k - $225k
...Deputy Chief Compliance OfficerPosition: Deputy Chief Compliance OfficerDepartment: Legal – NY OfficeReports To: Chief Compliance OfficerCompensation... ...BonusJob Summary:In conjunction with the Chief Compliance Officer and the Chief Legal Officer, the Deputy Chief Compliance...Contract workPrivate practiceWork at officeEmigrant Bank
New York, NY3 days ago- ...A growing investment management firm is seeking a Deputy Chief Compliance Officer & Legal Counsel to help lead its regulatory compliance and legal functions. This role offers the opportunity to build and enhance a compliance program as the organization moves toward...Full time
Madison-Davis, LLC
New York, NY3 days ago - Chief Compliance Officer New York, NY Primary compliance and oversight professional to help us develop and manage the compliance function at the company, including compliance matters with respect to all FINRA and SEC regulated activities in coordination with our regulated...Full time
- The New York City Department of Investigation seeks an Examining Attorney (Managerial) to serve as a senior legal executive. The role reports to the Commissioner and involves guiding complex investigations, risk management, and policy development within a nonpartisan watchdog...
- ...Director of Corporate Compliance & Privacy We are seeking an experienced Director of Corporate Compliance & Privacy to join a leading healthcare organization serving the New York metropolitan area. This leadership opportunity is ideal for a compliance professional...Full time
HealthSearch Group
New York, NY15 hours ago - ...Compliance Officer (New York, NY) A growing, global alternative investment manager is looking to add a senior Compliance Officer to its New York team. The firm has experienced significant growth in recent years, with assets under management tripling over the past three...Full time
Landing Point
New York, NY4 days ago - ...The Opportunity The firm is hiring an Associate Director or Director to join its Global Compliance team, reporting directly to the Global Chief Compliance Officer. The role helps the firm identify, assess and manage regulatory risk across jurisdictions and business...Full timeWorldwide
JW Michaels & Co.
New York, NY1 day ago - ...Description: The Director of Compliance works with Beacon of Hope (BOH) staff to ensure programs remain in compliance with applicable regulatory standards set forth by the New York State Office of Mental Health (OMH) and provides supervision to the Quality Improvement...Full timeFor contractorsWork at office
Catholic Charities of the Archdiocese of New York
New York, NY2 days ago
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Chief Compliance Officer. Be the first to apply!
Related searches
- chief compliance officer New York, NY
- medical compliance New York, NY
- labor compliance New York, NY
- code compliance New York, NY
- environmental compliance technician New York, NY
- export compliance New York, NY
- medicaid compliance New York, NY
- hud compliance New York, NY
- import compliance New York, NY
- tax compliance New York, NY