Chief Compliance Officer

About the Company

We are seeking a highly experienced and strategic Chief Compliance Officer (CCO) to lead and manage the compliance program for a Broker-Dealer focused on Fixed Income instruments. The CCO will oversee and ensure the firm’s operations comply with applicable federal, state, and industry regulations, while implementing policies and procedures to mitigate risks and maintain the firm’s reputation. The ideal candidate will have a deep understanding of fixed income securities, regulatory frameworks governing broker-dealers, and the broader financial services industry.

Responsibilities

• Develop, implement, and maintain a comprehensive compliance program tailored to fixed income trading activities and broker-dealer operations.
• Monitor and ensure compliance with securities laws, FINRA, SEC, and other regulatory requirements, focusing on fixed income securities, sales, trading, and investment activities.
• Lead the compliance function, overseeing the day-to-day operations of the compliance department and ensuring proper staffing, training, and resource allocation.
• Conduct regular risk assessments and identify compliance vulnerabilities within the firm’s trading, investment, and operational activities.
• Advise senior leadership on regulatory changes and emerging compliance risks, offering proactive solutions to ensure ongoing compliance.
• Conduct internal audits, inspections, and surveillance activities to assess adherence to internal policies and external regulations.
• Implement and manage training programs for employees to ensure compliance with applicable laws, regulations, and internal procedures.
• Serve as the primary liaison with regulatory agencies, external auditors, and legal counsel regarding compliance matters.
• Oversee and manage the firm’s compliance reporting, ensuring timely and accurate submission of regulatory filings, disclosures, and reports.
• Collaborate with various departments (e.g., trading, operations, risk management) to ensure that compliance standards are integrated into all business practices and strategies.
• Ensure that all firm communications and marketing materials comply with regulatory standards, including suitability, disclosures, and recordkeeping requirements.
• Review and enhance policies and procedures related to trading practices, conflict of interest, anti-money laundering (AML), and anti-fraud.
• Lead the process of investigating and resolving potential compliance violations, escalating issues as appropriate to senior management and regulators.

Qualifications

• Bachelor's degree in Finance, Business, Law, or related field; advanced degree or certifications (e.g., CCO, CAMS, etc.) preferred.
• Minimum of 10 years of compliance experience, with at least 5 years in a senior compliance role within a broker-dealer, focusing on fixed income securities and trading operations.
• In-depth knowledge of SEC, FINRA, CFTC, and other applicable regulatory frameworks, as well as fixed income markets, including debt securities, municipal bonds, and treasury products.
• Proven ability to interpret complex regulatory requirements and develop practical compliance programs for fixed income trading.
• Experience in managing compliance risk assessments, audits, and regulatory reporting.
• Strong leadership and management skills with the ability to communicate effectively with both internal and external stakeholders.
• Ability to work independently and handle sensitive, confidential matters with discretion and professionalism.
• Excellent problem-solving skills and the ability to develop creative solutions to compliance challenges.
• Strong interpersonal, organizational, and communication skills.
• Detail-oriented, with the ability to balance multiple priorities in a fast-paced environment.
• Currently holds Series 14 and Series 24.