Chief Compliance Officer (CCO)
Confidential
Chief Compliance Officer (CCO)
About the Company
Innovative broker-dealer specializing in structured products, ETFs, alternative investments, and fixed income securities.
Industry
Capital Markets
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to lead and administer its comprehensive broker-dealer compliance program. The CCO will be the firm's designated senior compliance leader, responsible for developing, implementing, and maintaining a risk-based compliance framework to ensure adherence to SEC, FINRA, MSRB, and other regulatory requirements. This role involves serving as the primary compliance contact for regulatory agencies, leading all compliance and regulatory matters, and fostering a culture of compliance and ethical conduct. The successful candidate will have a minimum of 10 years' progressive compliance experience in financial services, with a focus on broker-dealer, fixed income, capital markets, and underwriting. Deep expertise in regulatory requirements and a strong understanding of AML is essential. The ideal candidate for the CCO position at the company will have a proven track record of managing compliance programs, regulatory initiatives, and compliance personnel. They should possess active FINRA Series 7 and Series 24 registrations, and experience in developing and maintaining Written Supervisory Procedures, compliance monitoring programs, and enterprise compliance frameworks. The role requires a strategic thinker with strong business judgment, exceptional leadership, and the ability to influence decision-making. The CCO will also be expected to have excellent communication skills, the ability to engage with stakeholders at all levels, and a high degree of integrity and professionalism. A background as a senior compliance leader in a regulated broker-dealer environment, experience with the SEC and/or FINRA, and a relevant professional designation are desired.
Hiring Manager Title
General Counsel
Functions
- Finance
Vacancy posted 3 days ago
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