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
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