Chief Compliance Officer for Self-Clearing Broker-Dealer located in New York-Must Have Minimum [...]

Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer in the role of Chief Compliance Officer who has worked at a Self-Clearing Broker Dealer within the last 5 years as who has significant experience in the supervision of Equities Trading " as well as writing and updating Written Supervisory Procedures and firm policies All Other Please DO NOT APPLY". Candidate must have or be willing to get a Series 7 and 24. Once again only Candidates that have 5 years' experience in the role of Chief Compliance Officer working at a Self-Clearing Broker-Dealer within the last 5 years will be considered, all others please do not apply. Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML compliance, training and annual testing Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities Monitor compliance issues and changes in regulations, reporting their impact on the organization to stakeholders Oversee a team that is responsible for registrations and lead the following: coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance and transaction monitoring and reporting Manage all aspects of the Firm's AML compliance program (as outlined in FINRA Rule 3310) Handle additional projects as needed in a rapidly changing regulatory environment What You'll Need: Series 7 and 24 will be required if you do not already have them you will have to attain them in a timely fashion. Minimum 5 years of experience working in a senior compliance role (CCO, Director or similar) within a Self-Clearing Broker-Dealer. Strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management Must have experience in Supervision of Equities and some familiarity with options and fixed income would be a plus; knowledge of relevant regulations as they apply to order routing, execution services, and electronic reporting Ability to read and interpret regulations, and implement changes, particularly as it relates to broker-dealer compliance Strong project management, organizational and communication skills with the ability to work independently, handle multiple projects and present clear recommendations to business stakeholders Experience in building a good corporate culture and leading by example. Must have excellent leadership and communication skill and the ability to multi-task. #J-18808-Ljbffr ACG Texas