Chief Compliance Officer (CCO)
Confidential
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 oversight and shape compliance as the business grows. Responsibilities include managing regulatory examinations, inquiries, and remediation; advising the Board and executive leadership on regulatory strategy and emerging risks; and overseeing trade surveillance, supervisory programs, anti-money-laundering controls, and financial-crime processes. The CCO will review retail communications and disclosures, support digital-asset initiatives, develop risk assessments and monitoring programs, and partner with business and technology teams. The role also involves building and leading a multidisciplinary compliance organization. Candidates should have at least 12 years of progressive broker-dealer compliance experience, including prior service as a CCO or Deputy CCO at a registered broker-dealer. Extensive experience leading regulatory examinations and remediation, along with strong knowledge of securities regulations, supervisory requirements, and AML/BSA, is required. Active Series 7, 24, 53, and 65 or 66 licenses are required; Series 14 is an advantage. Candidates should also be comfortable advising and presenting to a Board.
Functions
- Finance
Vacancy posted 2 days ago
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