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Chief Compliance Officer (Hybrid)- Glenview, IL

Futurerecruit.net

Chief Compliance Officer (Hybrid)-Full Time Location: Glenview, IL, 60025 What you will be doing: Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement. Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines. Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities. Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed. Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence. Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews. Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes. Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement. Experience you will need: At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations. Self-directed brokerage experience desired. Series 7, 24, and 65/66 licenses required. A Bachelor's Degree is essential, and CAMS certification is preferred. Exceptional organizational, analytical, and problem-solving abilities. Stellar written and verbal communication skills, with the ability to influence and engage at all levels. A proven ability to multitask and thrive in a fast-paced environment. Strong team player with excellent coaching, feedback, and listening skills. Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products. Top Reasons to work with our client: Innovative trading platform! Supportive team culture! Career advancement opportunities! Focus on professional growth! Competitive salary and benefits! Work with industry experts! Cutting-edge technology! Client-centric approach! Dynamic work environment! Strong reputation in finance! #J-18808-Ljbffr Futurerecruit.net

Vacancy posted 1 day ago
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