Chief Compliance Officer (New York)

Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position!

Responsibilities:

• Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.
• Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.
• Responsible and accountable for the design, implementation, administration, and effectiveness of the broker-dealer compliance program
• Advise senior management on regulatory developments, compliance risks, and control enhancements
• Manage an existing team of compliance professionals and continue building out
• Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC
• Build and manage a high-performing compliance team supporting the broker-dealer

Qualifications:

• Bachelor's Degree
• 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.
• Strong knowledge knowledge of FINRA rules, SEC regulations, and broker-dealer supervisory requirements
• Prior experience in a fin-tech based firm is a plus
• Previous management experience is a must
• Must have a Series 7 & 24
• Strong and established experience working directly with the various regulators