Job DetailExperience Level DirectorDegree Type Bachelor of Science (BS)Employment Full TimeWorking Type HybridJob Reference 0000020562Salary Type AnnuallyIndustry Broker DealerSelling Points Lead compliance strategy at a dynamic broker-dealer organization. Collaborate with senior teams to ensure regulatory excellence. Drive impactful compliance programs in a hybrid work environment.Job DescriptionChief Compliance Officer OverviewThe Chief Compliance Officer (CCO) ensures broker-dealer compliance with SEC, FINRA, and state regulations.Collaborates with the affiliated registered investment advisor’s compliance team to align regulatory practices.Evaluates business risks and designs compliance programs to meet organizational goals and objectives.Maintains legal and regulatory compliance at the highest standards across all broker-dealer activities.Provides strategic leadership and guidance on compliance matters to senior management and legal teams.Develops and implements policies and procedures for client onboarding, AML, KYC, and insider disclosures.Ensures compliance with securities transaction reviews and oversees trade-related compliance activities.Leads risk assessment reviews, internal audits, and automated surveillance programs to uphold industry standards.Chief Compliance Officer Key Responsibilities & DutiesDesign and implement the broker-dealer compliance program, ensuring adherence to regulatory requirements.Educate and train firm personnel on compliance policies and procedures.Perform compliance reviews, including securities transaction assessments and trade-related activities.Develop and maintain policies for AML, KYC, and customer identification procedures.Respond to regulatory inquiries, examinations, and audits with professionalism and accuracy.Collaborate with legal and regulatory teams to manage changes to compliance requirements.Provide compliance approvals for new accounts and oversee customer onboarding processes.Partner with management and legal counsel on litigation, arbitration, and regulatory matters.Chief Compliance Officer Job RequirementsBachelor’s Degree required; J.D. preferred for advanced compliance expertise.Current Series 7 and 24 qualifications required; Series 53 desired within 12-14 months.Minimum of 7 years of securities compliance experience; 15 years preferred.Strong knowledge of FINRA, SEC, and state securities regulations.Excellent communication skills for drafting professional correspondence and policies.Proven ability to manage competing priorities and resolve complex compliance issues.Results-oriented with a commitment to ethical and professional standards.Experience in institutional, retail, fixed-income, and options trading compliance.
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