Chief Compliance Officer (CCO)
Confidential
Chief Compliance Officer (CCO)
About the Company
Established independent broker-dealer and registered investment adviser offering investment products and services
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to lead broker-dealer and investment adviser compliance functions. Responsibilities include overseeing daily compliance activities, regulatory filings, inquiries, examinations, complaints, and inspections; maintaining compliance records; and monitoring trading and surveillance reports. The role also involves developing and updating policies and procedures, reviewing advertising and representative communications, advising registered professionals, and leading compliance initiatives. The successful candidate will work with senior leadership to strengthen regulatory oversight and guide the compliance team. Candidates should have a bachelor’s degree or equivalent professional experience and at least three years of compliance or operations experience in a broker-dealer or registered investment adviser setting. Strong knowledge of FINRA, SEC, state securities, and investment adviser regulations is required, along with excellent written, verbal, and interpersonal communication skills. FINRA Series 7 and 24 licenses are required, or Series 7 with the ability to obtain Series 24 within 120 days; Series 4, 53, 63, and 65 are preferred.
Functions
- Finance
Vacancy posted 1 day ago
Similar jobs that could be interesting for youBased on the Chief Compliance Officer (CCO) in Columbus, OH vacancy
- ...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...Suggested
- ...Chief Compliance Officer (CCO) About the Company Fast-scaling global fintech trading platform spanning trading, clearing, and digital assets Industry Capital Markets Type Privately Held About the Role The Company is seeking a Chief Compliance Officer...Suggested
- ...Chief Compliance Officer (CCO) About the Company Internationally renowned digital asset platform Industry Financial Services Type Privately Held About the Role The Company is in need of a Chief Compliance Officer to take on a pivotal role in leading...Suggested
- ...Chief Compliance Officer (CCO) About the Company Nationally recognized provider of in-home dialysis services Industry Hospital & Health Care Type Privately Held Employees 1001-5000 Specialties dialysis center renal care dialysis services...Suggested
- ...Chief Compliance Officer (CCO) About the Company Global fintech trading brand and fast-scaling institutional brokerage platform spanning trading, clearing, and digital assets Industry Financial Services Type Public Company About the Role The Company...Suggested
- ...Chief Compliance & Legal Officer About the Company A regulated financial services company focused on consumer lending and compliance Industry Financial Services Type Privately Held About the Role The Company is seeking a Chief Compliance and Legal...
- ...the world’s most trusted financial institution to empower people to own their financial lives through Bitcoin. We seek a Chief Compliance Officer to build and own the program end-to-end, including BSA, OFAC, policy, and regulatory engagement with regulators, examiners...
River
Columbus, OH1 day ago - ...Deputy Chief Compliance Officer About the Company Respected ETF investment technology platform Industry Financial Services Type Privately Held, Private Equity-backed Founded 2012 Employees 51-200 Specialties trust services strategy &...
- ...You will translate federal and state regulations into practical processes, drive continuous improvement, and partner with Legal, Compliance, and external stakeholders to ensure CMS alignment and accurate reporting. Strong leadership and analytical skills are essential....
Bazeta
Columbus, OH3 days ago - ...Head of Compliance About the Company Innovative financial services company transforming capital markets infrastructure. Industry Financial Services Type Privately Held About the Role The Company is in search of a Head of Compliance to join their...
- ...Head of Compliance About the Company Innovative financial services company transforming the infrastructure supporting capital markets Industry Financial Services Type Privately Held About the Role The Company is seeking a Head of Compliance to...
- ...Delivery Hero Payments S.A. is seeking a Head of AML, Regulatory and Compliance to lead the development and management of a comprehensive AML program for our payments business in Europe. The role requires coordinating with regulators, overseeing licensing and compliance...
Delivery Hero
Columbus, OH3 days ago - ...throughout their entire end-of-life journey. Reports To: Chief People Officer About Luminary Hospice: At Luminary Hospice, we are a mission... ...families and caregivers. About the role: The Director of Compliance leads the enterprise-wide compliance program for Luminary...For contractorsLocal area
- Purpose: The Director of Athletic Compliance ensures the institution adheres to NCAA and Great Midwest Athletic Conference rules and regulations... ...all financials aid related issues and is the liaison to the office of Financial Aid. The Director of Athletic Compliance also...Contract workWork at office
- Head of Regulatory Affairs About the Company Clinical-stage biotech developing novel therapies for areas of significant unmet medical need Industry Biotechnology Type Privately Held About the Role The Company is seeking a hands-on Head of Regulatory...
- ...The Ohio State University Wexner Medical Center seeks a Director of Coding, Compliance and Clinical Documentation Enhancement to provide administrative direction to coding services and CDI. This role manages staff and programs to ensure high quality coding, documentation...
Ohio State University
Columbus, OH3 days ago $151k
...State of Ohio's Bureau of Workers’ Compensation (BWC) seeks a senior operations leader to oversee the Compliance & Performance Monitoring unit in Columbus. You will ensure regulatory and MCO reporting, monitor quality assurance, and refine policies. You’ll guide management...Permanent employmentFull timeWork at officeFlexible hoursState of Ohio
Columbus, OH2 days ago- Luminary Hospice is seeking a Director of Compliance to lead the enterprise-wide compliance program, ensuring adherence to Medicare... ..., HIPAA, and related laws. This role partners with the Chief People Officer and Operations to foster accountability, transparency, and...
- Reports to: SVP, Director of Asset Management Job Summary: The Director of Compliance and Training leads a team which plays a critical role in ensuring regulatory compliance across the OCCH portfolio. Essential Job Functions: Supervise and develop Compliance and Training...Work experience placementLocal area
- The Ohio State University seeks a Director of Coding, Compliance and Clinical Documentation Enhancement to lead inpatient and outpatient coding, compliance and documentation improvement across OSU’s health system. You will drive accuracy, data quality, and regulatory adherence...Remote job
- OCCH is seeking a Director of Compliance and Training to lead a team ensuring regulatory compliance across the portfolio. The role involves developing programs for the Affordable Housing Training Academy and overseeing first-year audit processes and tenant file reviews...
- Head of Regulation, AML and Compliance - DH Pay Full-time Delivery Hero Payments S.A. is a licensed payment institution based in Greece,... ..., to join us and take over this challenge at our Athens based office. The role includes responsibility for our licensed payment institution...Full timeContract workWork at officeLocal areaRemote work
- ...Chief Commercial Officer (CCO) About the Company Successful, privately held packaging manufacturer serving foodservice and commercial markets. Industry Packaging and Containers Type Privately Held About the Role The Company is in search of a Chief...
- ...Senior Vice President, Head of Compliance About the Company Late-stage clinical biopharmaceutical company Industry Biotechnology... ...the need for close collaboration with the business. Hiring Manager Title Chief Legal Officer Functions ~ Legal Confidential
- ...Chief Commercial Officer (CCO) About the Company Healthcare technology company automating workflows between providers and payers. Industry Computer Software Type Privately Held, VC-backed About the Role The Company is seeking a Chief Commercial Officer...
- ...Chief Commercial Officer (CCO) About the Company Promising biotechnology company Industry Biotechnology Type Privately Held About the Role The Company is in search of a Chief Commercial Officer to lead its commercial strategy and drive growth through...
- ...Chief Commercial Officer (CCO) About the Company Healthcare technology company automating administrative workflows between providers and payers Industry Information Technology and Services Type Privately Held, VC-backed About the Role The Company...
- ...Chief Commercial Officer (CCO) About the Company Innovative healthcare technology (HealthTech) company Industry Information Technology and Services Type Privately Held, VC-backed Founded 2014 Employees 51-200 Specialties healthcare information...
- ...Chief Commercial Officer (CCO) About the Company We are an international full-service media buying and advertising company developing its own ad products. Industry Marketing and Advertising Type Privately Held About the Role The Company is seeking...
- ...Chief Commercial Officer (CCO) About the Company Fast-growing, multi-location business services company for commercial construction trades. Industry Construction Type Privately Held About the Role The Company is seeking a Chief Commercial Officer...For contractorsFor subcontractor
Do you want to receive more vacancies?
Subscribe and receive similar vacancies to Chief Compliance Officer (CCO). Be the first to apply!
Related searches
- chief compliance officer Columbus, OH
- assistant vice president compliance Columbus, OH
- sr. manager regulatory compliance Columbus, OH
- hud compliance Columbus, OH
- entry level compliance Columbus, OH
- compliance lead Columbus, OH
- regulatory affairs intern Columbus, OH
- corporate compliance Columbus, OH
- pharmaceutical regulatory affairs Columbus, OH
- compliance counsel Columbus, OH