Chief Compliance Officer

Chief Compliance Officer Duties: Establish, maintain and upgrade standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues. Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls to minimize the residual risk of reputational damage, regulatory consequences and other operational risks. Oversee and manage the compliance program functions for the BD and IRA, including implementation of written supervisory procedures, transaction monitoring, AML compliance (FINRA Rule 3310), training and annual testing. Manage the licensing requirements and holdings for the BD, and IRA. Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities. Work with senior management, Legal, Compliance, HR, Marketing, registered representatives, and other key constituencies. Provide advice on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures. Ensuring that SARs, CTRs, and CIMRs are filed promptly and on time. Requirements: Licenses: series 24, 7. Minimum 10 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting a Broker Dealer and/or RIA. Experience working with regulatory agencies and legal teams, both internal and external. Experience with US Anti-Money Laundering regulations and best practices. #J-18808-Ljbffr