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 1 day ago
Similar jobs that could be interesting for youBased on the Chief Compliance Officer (CCO) in Austin, TX vacancy
- ...Chief Compliance Officer We are Lennar Lennar is one of the nation's leading homebuilders, dedicated to making an impact and creating an extraordinary... .... Position Summary The Chief Compliance Officer (CCO) is responsible for leading and continuously enhancing...SuggestedLive inLocal area
001 Lennar Mortgage LLC
Austin, TX3 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 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
- ...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...Suggested
- Lennar Mortgage LLC is seeking a Chief Compliance Officer to lead the company’s Compliance Management System, ensuring adherence to mortgage banking laws, regulations, and investor requirements. The CCO partners with executive leadership to leverage data analytics, AI,...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...
$170k - $190k
...supports a variety of ways to work, ranging from fully remote to in-office. We operate as a digital-first company with strong... ...Gurugram office. Responsibilities Build and own the entity's FCRA compliance program from a blank page including policies, procedures, training...Live inWork at officeRemote workHome officeFlexible hours- 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...
- SaaS Co-Founder / CCO (100% remote) (m/f/d) We are looking to hire ambitious entrepreneurs to start and scale their own startups. We are serial entrepreneurs such as Paul Müller (founder Adjust, €1.2B exit) and Petter Made (founder SumUp, €8B) who are eager to support...Remote jobRelocation
- Texas Health Azle is seeking a Director of Pharmacy to lead operations, regulatory compliance, and strategic initiatives in a community hospital setting. This role oversees personnel, budgets, and quality programs to ensure high-quality patient care. The position requires...
- ...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 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 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 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 Integrated Research Organization focused on bridging the gap between cutting-edge clinical trials and patients Industry Research Type Privately Held About the Role The Company is in search of a Chief...Work at office
- ...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 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...
- ...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 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...
- As Senior Manager of Trade Compliance and Programs you will lead programs to ensure compliance with international trade regulations with particular focus on US, Mexico and Canada. This position reports to the General Counsel for Supply Chain and is responsible for overseeing...Worldwide
- A startup accelerator is seeking an ambitious SaaS Co-Founder/CCO to lead the development of a startup. This 100% remote role offers funding options and access to a network of successful entrepreneurs. Key responsibilities include building a scalable startup and receiving...Remote job
- ...Empower. Scale Computing is hiring a Director of Security and Compliance to own the company's security and compliance program end to end... ...services delivered to customers. This is a full-time in-office role based in our Austin, TX office. What You'll Do Own the...Full timeContract workTemporary workWork at officeRemote workFlexible hours
Scale Computing, Inc.
Austin, TX4 days ago - ...analyzing self-reported financial data across MCO, DMO, and MMP contracts. The role oversees policy development, templates, and reconciliations, guides program areas and HHSC Financial Services, and travels as needed to facilities and state offices. #J-18808-Ljbffr TSABAA
- ...Legal (Government) to lead government contracting and regulatory strategy. This role partners with executive leadership to shape compliance programs and contract strategy across U.S. government and international matters. The position requires deep subject matter expertise...Contract work
- ...customer, regulatory, and business requirements. You will build a robust QMS in a new aerospace environment, lead cross-functional teams, drive regulatory compliance, and implement quality initiatives across sites as KRUSH scales in the U.S. #J-18808-Ljbffr KRUSH Tech Inc
- Key Responsibilities Regulatory Compliance & Legal Affairs Monitor, interpret, and communicate changes to applicable Texas laws... ...environment The Director of Compliance will report to the Chief Executive Officer, Chief Operating Officer, General Counsel, or another...Local area
- CesiumAstro seeks a Senior Director of Legal (Government) to lead government-facing strategy and compliance. You will oversee FAR/DFARS, ITAR/EAR, and export controls while guiding executives on risk, pricing, and contract strategy. This role demands hands-on leadership...Contract work
- SentiLink is seeking a Senior Compliance Officer to build and own the FCRA compliance program and manage consumer dispute and reinvestigation activities. You will partner with Engineering and Product to design controls, policies, and scalable processes as we grow. Ideal...
- The Director of Risk Management is responsible for developing, leading, and continuously improving WeDriveU's enterprise rick and compliance program. This role provides oversight of the operational, regulatory, contractual, and organizational risks across the company's...Contract workTemporary workFor subcontractorLocal area
- ...leading exceptional clinical teams - and has a passion for the home health, hospice and home care industry. About the Opportunity The CCO-in-Training (CCIT) Program is a 12‑week, full‑time paid executive training program designed to prepare outstanding leaders for an...Full timeRelocation
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Chief Compliance Officer (CCO). Be the first to apply!
Related searches