Chief Compliance Officer

An established financial services firm is seeking an experienced Chief Compliance Officer (CCO) to lead its regulatory compliance function. This senior leadership position will oversee the firm's broker-dealer compliance program, advise executive management, and ensure effective controls across trading, supervision, and business operations.

The ideal candidate brings extensive broker-dealer regulatory experience, strong knowledge of FINRA and SEC requirements, and a hands-on approach to compliance leadership.

Key Responsibilities

• Lead the firm's overall compliance strategy, ensuring adherence to SEC, FINRA, and applicable federal and state securities regulations.
• Serve as the primary point of contact for regulatory examinations, inquiries, audits, and supervisory reviews.
• Develop, maintain, and enhance written supervisory procedures (WSPs), compliance policies, and internal control frameworks.
• Oversee trade surveillance, transaction monitoring, and supervisory controls to identify potential regulatory violations and market conduct risks.
• Manage the firm's AML compliance program, including suspicious activity monitoring, investigations, SAR filings, and employee training.
• Provide ongoing regulatory guidance to executive leadership, sales and trading teams, and other business stakeholders.
• Supervise compliance reviews covering employee trading, outside business activities, political contributions, and other regulated activities.
• Conduct periodic inspections of branch offices and Offices of Supervisory Jurisdiction (OSJs), addressing identified deficiencies.
• Oversee regulatory compliance for advertising, research materials, electronic communications, and other public-facing content.
• Coordinate regulatory filings, compliance reporting, and responses to examination findings.
• Develop and deliver compliance training and continuing education initiatives.
• Identify emerging regulatory risks and implement corrective measures to strengthen the firm's compliance environment.

Required Qualifications

• Minimum 10 years of financial services compliance experience, preferably within a broker-dealer environment.
• Active FINRA Series 7 and Series 24 licenses.
• Bachelor's degree in Finance, Business, Law, or a related discipline, or equivalent professional experience.
• Comprehensive understanding of SEC regulations, FINRA rules, and broker-dealer supervisory requirements.
• Experience overseeing compliance programs, working with compliance teams, and engaging directly with regulators and self-regulatory organizations.
• Strong background in AML compliance, trade surveillance, regulatory monitoring, and employee compliance training.
• Demonstrated experience managing regulatory examinations, internal audits, and remediation initiatives.
• Knowledge of surveillance systems, compliance testing, supervisory controls, and regulatory reporting.
• Strong leadership, communication, analytical, and organizational skills.
• Ability to manage competing priorities, resolve complex regulatory issues, and advise senior stakeholders effectively.

Preferred Qualifications

• Previous experience in a senior broker-dealer compliance leadership position.
• Familiarity with sales and trading compliance and branch supervision.
• Spanish-language proficiency.