Chief Compliance Officer (CCO)
Confidential
Chief Compliance Officer (CCO)
About the Company
Growing U.S. retail brokerage with direct Board access and digital asset ambitions
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to lead the regulatory and supervisory framework for a retail brokerage. The role includes managing regulatory examinations, inquiries, and remediation; advising the board and executive leadership on compliance strategy and emerging risks; and overseeing trade surveillance, supervision, anti-money-laundering programs, and financial-crime controls. The CCO will review retail communications and disclosures, support digital-asset initiatives, and develop risk assessments, testing, and technology-enabled monitoring. The position also involves partnering across business functions and building a high-performing compliance team. 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, and sustained experience leading regulatory examinations and remediation. Deep 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 bring executive presence and confidence advising and presenting to a board.
Functions
- Finance
Vacancy posted 2 days ago
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