Demo

Chief Compliance Officer for Self Clearing Broker Dealer

AJ Consultancy
New York, NY Full Time
POSTED ON 1/14/2025
AVAILABLE BEFORE 3/24/2025

Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer who has worked in the role of CCO at a Self-Clearing Broker Dealer within the last 10 years "All Other Please DO NOT APPLY". Candidate must have or be willing to get a Series 7, 14, and 24. Individual must have experience in various asset classes including but not limited to equities, fixed income and options. Once again only Candidates that have 5 years' experience in the role of Chief Compliance Officer working at a Self-Clearing Broker-Dealer within the last 10 years will be considered, all others please do not apply.

  • 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 :

  • Series 7, 14, 24 required (Series 4 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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