Job Description

Job Description

Job Description

Self Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self Clearing Broker Dealer. Candidate must have Series 14 license. Individual must have experience in various asset classes including but not limited to equities, fixed income and options.

Job Description:

• Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer
• Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML compliance, training and annual testing
• Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities
• Monitor compliance issues and changes in regulations, reporting their impact on the organization to stakeholders
• Oversee a team that is responsible for registrations and lead the following: coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance and transaction monitoring and reporting
• Manage all aspects of the Firm's AML compliance program (as outlined in FINRA Rule 3310)
• Handle additional projects as needed in a rapidly changing regulatory environment

What You'll Need:

• Bachelor's degree and Series 7, 24 required (Series 4 and 14 optional)
• Minimum 5 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting an electronic broker-dealer
• Strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management
• Familiarity with equities, options and fixed income; knowledge of relevant regulations as they apply to order routing, execution services, and electronic reporting
• Ability to read and interpret regulations, and implement changes, particularly as it relates to broker-dealer compliance
• Strong project management, organizational and communication skills with the ability to work independently, handle multiple projects and present clear recommendations to business stakeholders
• Experience in building a good corporate culture and leading by example.

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