Chief Compliance Officer

Chief Compliance Officer (CCO)Who We Are: TradeStation is the home of those born to trade. As an online brokerage firm and trading ecosystem, we are focused on delivering the ultimate trading experience for active traders and institutions. We continuously push the boundaries of what's possible, encourage out-of-the-box thinking, and relentlessly search for like-minded innovators. At TradeStation, we're building an AI-First culture: we expect team members to embrace AI daily, whether accelerating development, improving decisions, or streamlining processes. We encourage people to use AI responsibly, creatively, and consistently with our culture of compliance and corporate governance.What We Are Looking For: We are looking for an experienced Chief Compliance Officer (CCO) for a Retail Broker-Dealer and Futures Commission Merchant (FCM). The CCO will assume primary responsibility for assuring compliance with SEC, CFTC, FINRA, NFA and other regulatory organization and state rules/regulations as well as all other federal statutes and developments. The CCO will evaluate business risk in accordance with policies, goals and objectives established by the organization. The CCO is also accountable for the design and execution of the compliance program for the organization and to assure that a strong culture of compliance is maintained at the highest level. This opportunity is an ideal role for a candidate who is interested and experienced in building and expanding a retail broker-dealer and/or FCM. Our ideal candidate should have an entrepreneurial spirit, possess strong leadership skills, and take a hands-on approach in his/her everyday dealings within the organization.What You'll Be Doing:Administer the company's policies and procedures to ensure reasonable compliance with securities and commodity futures industry rules and regulations for a self-clearing broker-dealer/FCMEstablish procedures, in consultation with the board of directors or the President, for the handling, management response, remediation, retesting, and closing of compliance issues (breaches, gaps, etc.)Prepare and sign the annual reports required under applicable rulesProcess and maintain company registrationsPlan and coordinate employee training sessionsHigh-level participation at board and risk committee meetingsRespond to regulatory requests and oversee regulatory examinations and investigationsTrack laws and regulations that might affect the organization's policies and implement necessary changesSupervise the Compliance Department's efforts and work closely with AMLWork closely with Risk Management, Internal Audit and Legal Departments, as appropriateOversee, manage and improve technology systems used for all aspects of complianceThe Skills You Bring:Experience with all aspects of trading various asset classes including marketing and communications, account opening, onboarding and funding, execution, clearing, settlement, and reportingAbility to understand the technical aspects of an online trading business and the compliance systems which support itAbility to supervise a large team of experienced compliance professionalsMust possess strong communication, organizational and analytical skillsMinimum Qualifications:Requires a bachelor's degree in area of specialty and at least 15 years of experience in the fieldPrevious broker-dealer and FCM compliance experience is essentialFINRA Series 7, 3, 14, 24What We Offer:Collaborative work environmentCompetitive SalariesYearly bonusComprehensive benefits for you and your family starting Day 1Unlimited Paid Time OffFlexible working environmentTradeStation Account employee benefits, as well as full access to trading education materialsPay Range (US) $275-330K (Countries outside of the US have differing ranges in accordance with local labor markets)TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.