Chief Compliance Officer (CCO)
About the Company
Respected broker-dealer
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for overseeing the broker-dealer compliance program, including the implementation of supervisory procedures, policies, training, and AML compliance. This role involves independently managing the FINRA relationship, conducting annual supervisory reviews, and ensuring the firm's AML compliance program is up to date. The Chief Compliance Officer will also be involved in strategic projects as the business grows and will play a key role in the team growth strategy for the compliance program. Applicants must have demonstrable experience leading a compliance program at a broker-dealer, with a strong working knowledge of FINRA rules, particularly those related to investment banking compliance and regulatory filing. A Bachelor's degree is essential, and the ideal candidate will have a proven operational compliance focus, with experience in a hands-on capacity within a small to medium-sized business. The role requires the ability to identify and mitigate compliance risks, communicate effectively with management, and support business teams with regulatory compliance considerations. The Chief Compliance Officer will also be responsible for maintaining strong internal controls and fostering a culture of compliance within the organization.
Hiring Manager Title
CEO
Travel Percent
Less than 10%
Functions
Do you love to cook? Are you passionate about food? As a Cook on our team, youll help bring recipes to life while being able to flex your creativity! Surrounded by fresh ingredients and the best equipment, youll be immersed in a world that goes beyond food preparation...
Buchanan, Williams & O'Brien, P.C. is a well established, award winning, and growing firm and is looking to add to our team! Qualified candidate will assist firm partners and case managers, be responsible for her/his own caseload, and is expected to work independently with...
? Job Title: Entry-Level Data Center Technician ? Location: Altoona, Iowa ? Employment Type: Contract ? Overview Our client has multiple openings for entry-level technicians eager to learn a new trade: Structured Cabling . If you have experience working with...
Hope Services is looking for a compassionate and dedicated Assistant Store Manager to join our Retail Operations team supporting individuals with developmental disabilities. In this role, you will help manage daily business activities in our thrift stores, including supervising...
...Medical Va Please note: This job is available to people in the Philippines only. QuickTeam... ...a company that provides businesses with virtual employees to help them grow and become more productive. We provide virtual assistants, receptionists, and other support staff to...