Chief Compliance Officer (CCO)
Confidential
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 is seeking a Chief Compliance Officer to lead compliance for its broker-dealer entities and shape the organization’s supervisory framework and regulatory strategy. The role includes serving as the primary liaison with regulators, managing regulatory examinations and enforcement matters, and building or scaling the compliance function. The CCO will provide executive-level guidance on compliance priorities and support the organization’s growth across markets and asset classes. Candidates should have at least 10 years of broker-dealer compliance experience in regulated financial services, with hands-on institutional brokerage experience in areas such as trading, clearing, prime brokerage, or market access. Experience with a regulatory or self-regulatory body is valued, as is a record of leading compliance teams across surveillance, anti-money laundering, and supervisory functions. Required qualifications include Series 7 and Series 24 licenses; Series 3 is also required or must be obtained shortly after starting. Prior experience as a CCO, Deputy CCO, or Head of Compliance is strongly preferred.
Functions
- Finance
Vacancy posted 3 days ago
Similar jobs that could be interesting for youBased on the Chief Compliance Officer (CCO) in San Diego, CA vacancy
$140k - $180k
...Chief Compliance Officer Summary of Superior Planning: Superior Planning offers a full-service Wealth Management and Family Office group that... ...at Superior Planning serves as the firm’s designated CCO under Rule 206(4)-7 of the Investment Advisers Act of 1940....SuggestedFull timeContract workWork at officePartain Consulting
San Diego, CA4 days ago- ...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...Suggested
- ...Chief Compliance Officer (CCO) About the Company Growing U.S. retail brokerage with direct Board access and digital asset ambitions Industry Financial Services Type Privately Held About the Role The Company is seeking a Chief Compliance Officer to...Suggested
- ...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...Suggested
$150k - $190k
Position: Deputy Chief Compliance Officer Department: Madison Avenue Securities Reporting to: Chief Compliance Officer Overview: Are you an experienced... ..., and problem-solving skills Bonus Points: Previous CCO or Deputy CCO experience Additional securities licenses...Suggested- ...Head of Compliance About the Company Innovative financial services company transforming capital markets infrastructure. Industry Financial Services Type Privately Held About the Role The Company is in search of a Head of Compliance to join their...
- Head of Regulatory Affairs About the Company Clinical-stage biotech developing novel therapies for areas of significant unmet medical need Industry Biotechnology Type Privately Held About the Role The Company is seeking a hands-on Head of Regulatory...
- ...Chief Commercial Officer (CCO) About the Company Healthcare technology company automating workflows between providers and payers. Industry Computer Software Type Privately Held, VC-backed About the Role The Company is seeking a Chief Commercial Officer...
- ...Chief Commercial Officer (CCO) About the Company Healthcare technology company automating administrative workflows between providers and payers Industry Information Technology and Services Type Privately Held, VC-backed About the Role The Company...
- ...Chief Commercial Officer (CCO) About the Company Innovative healthcare technology (HealthTech) company Industry Information Technology and Services Type Privately Held, VC-backed Founded 2014 Employees 51-200 Specialties healthcare information...
- ...Chief Commercial Officer (CCO) About the Company Fast-growing, multi-location business services company for commercial construction trades. Industry Construction Type Privately Held About the Role The Company is seeking a Chief Commercial Officer...For contractorsFor subcontractor
- ...Chief Commercial Officer (CCO) About the Company Promising biotechnology company Industry Biotechnology Type Privately Held About the Role The Company is in search of a Chief Commercial Officer to lead its commercial strategy and drive growth through...
- ...Chief Commercial Officer (CCO) About the Company We are an international full-service media buying and advertising company developing its own ad products. Industry Marketing and Advertising Type Privately Held About the Role The Company is seeking...
- ...Chief Commercial Officer (CCO), Private Equity Backed Industrials About the Company Private equity-backed manufacturer and distributor of industrial safety products pursuing aggressive growth Industry Business Supplies and Equipment Type Privately Held...
- ...Chief Commercial Officer (CCO) About the Company Successful, privately held packaging manufacturer serving foodservice and commercial markets. Industry Packaging and Containers Type Privately Held About the Role The Company is in search of a Chief...
$240k - $280k
...implementer and administrator for all regulatory strategies, regulatory compliance, quality systems programs and quality training; also serves as... ...for Regulatory Compliance (PRRC per IVDR) and HIPAA Privacy Officer. In conjunction with the CEO, creates policies to maintain...Work experience placementWorldwideShift workWerfenlife SA.
San Diego, CA2 days ago$116k - $151k
...assigned project teams and is responsible for driving regulatory deliverables, coordinating submission activities, and ensuring compliance with applicable regulatory requirements. This position requires strong regulatory knowledge, cross-functional collaboration, and...Full timeContract workTemporary workRemote workTravere Therapeutics
San Diego, CA4 days ago- Werfenlife SA. is seeking a strategic Head of Quality & Regulatory Affairs for Autoimmunity in the United States. You will shape quality and regulatory strategy, lead global registrations, and manage QA/QC teams to ensure compliant product development and post-market success...
- ...promotional strategy, claims development, fair balance, substantiation requirements, and risk mitigation. Manage all submissions to FDA Office of Prescription Drug Promotion (OPDP) and Advertising and Promotion Labeling Branch (APLB), including the timely and accurate FDA 2...Full timeWork at officeLocal area
ALKU
San Diego, CA2 days ago - ...scientific, safety and clinical data, as well as Health Authority responses into CCDS/USPI enabling the most current information and in compliance with labeling requirements Health Care Providers and patients.Independently authors and manages communications regarding CCDS and...Local areaRemote work
Planet Pharma
San Diego, CA5 days ago $284k - $302k
...authorization:· United States (Required)Additional Compensation:· Annual targeted bonus %Work Location:· Hybrid preferred in San Diego office. Remote permitted upon approval, with ability to travel up to 25% for meetings or site visits as required. EQUAL OPPORTUNITY...Full timeSummer workWork at officeRemote workRelocationRelocation packageShift workJanux Therapeutics
San Diego, CA7 days ago$246.98k - $299.29k
...the preparation of CMC policies and proceduresEnsure Regulatory Compliance: Maintain oversight and promote the highest standards of... ...Disclosure: The summer hours program is for United States (U.S.) office-based employees due to the unique nature of their work. Summer...Hourly payFull timeTemporary workPart timeFor contractorsSummer workLive inWork at officeLocal areaRemote workFlexible hoursShift workRayzeBio
San Diego, CA7 days ago$106.8k - $120.15k
...network to pioneer and shape the future of PCI.SUMMARY:The Manager, Compliance leads a team responsible for audit inspection readiness and... ...analysis and presentation software such as Visio, Microsoft office, Excel, PowerPoint, etc. LEADERSHIP RESPONSIBILITIES:Directs and...Full timeWork at officeFlexible hoursPCI Pharma Services
San Diego, CA7 days ago- ...training contributions, apprenticeship paperwork to determine compliance with applicable rules and regulations. You'll evaluate contractors... ...mix of working remotely, onsite at a client or in an Accenture office or center. With all our roles, there is some in-person time...Temporary workFor contractorsApprenticeshipFor subcontractorWork at officeLocal areaRemote workFlexible hours
Accenture Construct
San Diego, CA20 days ago $170k - $300k
...and synthetic reality technologies. With offices and facilities across the U.S., Europe,... ...Job Description:As the Director of SOX Compliance, you will build, lead, and continuously... ...Reporting to the Corporate Controller (or Chief Accounting Officer), you will partner closely...Full timeTemporary workPart timeWorldwideShield AI
San Diego, CA6 days ago$145k - $160k
...therapies to patients in need. The PositionThis position is responsible for supporting multiple global regulatory projects, ensuring compliance with all relevant regulatory requirements and guidelines, and develop and execute regulatory plans. This position will report to...Arrowhead Pharmaceuticals
San Diego, CA6 days ago$210k - $240k
...regulatory requirements, noting deviations and inconsistencies.Strong knowledge of document formatting (MS Word documents, PDFs compliance, and validation tools)Ability to maintain highest degree of professionalism, integrity and diplomacyPreferredExperience with regulatory...Arrowhead Pharmaceuticals
San Diego, CA3 days ago$222k - $303k
...documentation prepared by other functions and assess proposed manufacturing, analytical method, raw material, and facility changes for compliance with regional GMP regulations and ICH guidelines.Guide and/or lead complex CMC-focused interactions with regulatory authorities...Full timeLocal areaRemote workFlexible hoursInsmed
San Diego, CA4 days ago$132.7k - $182k
Responsibilities Develop, review, and file regulatory submissions including INDs, CTAs, DSURs, and annual reports Collaborate on global regulatory strategies supporting CMC, nonclinical, and clinical development programs Conduct regulatory intelligence research...Neurocrine Biosciences
San Diego, CA19 days ago- Executive Director, Regulatory Strategy About the Company Clinical-stage biopharmaceutical company developing innovative, transformational medicines. Industry Biotechnology Type Privately Held About the Role The Company is seeking an Executive Director...
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Chief Compliance Officer (CCO). Be the first to apply!
Related searches
- chief compliance officer San Diego, CA
- legal compliance San Diego, CA
- dot compliance San Diego, CA
- vendor compliance San Diego, CA
- regulatory compliance San Diego, CA
- pharmaceutical regulatory affairs San Diego, CA
- vice president regulatory affairs San Diego, CA
- hud compliance San Diego, CA
- alcohol compliance San Diego, CA
- regulatory affairs assistant San Diego, CA