Compliance Executive for Self Clearing Broker-Dealer located in New York

Self-Clearing Broker Dealer seeks an experienced Chief Compliance Officer with a minimum of 5 years of experience in the same role at a Self-Clearing Broker Dealer. The candidate must have extensive experience supervising equities trading and in writing and updating Written Supervisory Procedures and firm policies. Responsibilities 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 responsible for registrations and lead coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance, 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 are required; if you do not already have them, you must attain them in a timely fashion. Minimum five years of experience in a senior compliance role (CCO, Director, or similar) within a Self-Clearing Broker‑Dealer. Strong understanding of regulatory and self-regulatory agency rules and regulations (specifically FINRA and SEC) with best practices in compliance management. Experience supervising equities; familiarity with options and fixed income is 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 they relate 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 building a good corporate culture and leading by example. Excellent leadership and communication skills and the ability to multitask. #J-18808-Ljbffr ACG Texas