What are the responsibilities and job description for the Chief Compliance Officer - Broker Dealer position at Larson Maddox?
Are you ready to take charge of compliance within a dynamic institutional broker dealer environment? We're seeking an experienced Chief Compliance Officer - Broker Dealer who will ensure that our operations adhere strictly to financial regulations and ethical standards. This pivotal role is based in the vibrant city of Charlotte, North Carolina—a hub for finance professionals looking for growth and challenge. This role will be working in office Monday - Thursday, and offers the opportunity to work from home on Friday's. If you are looking to take your career to the next level, apply into this Chief Compliance Officer - Broker Dealer opportunity now!
The Chief Compliance Officer - Broker Dealer will be responsible for:
- Stay well-informed about the business and its operations to provide effective compliance oversight and allocate resources appropriately as the business evolves. Offer guidance on new and developing compliance matters.
- Supervise the upkeep of policies and procedures within the firm's Written Supervisory Procedures and anti-money laundering program.
- Provide guidance to the business on SEC, FINRA, MSRB, and SRO laws, rules, and regulations, with a special emphasis on broker-dealer rules and regulations.
- Oversee communications with regulatory bodies and spearhead regulatory examinations and investigations.
The Chief Compliance Officer should have the following qualifications:
- Possess a minimum of 10 years of experience in institutional broker-dealer operations.
- A Bachelor's degree.
- Hold FINRA Series 7, 63, and 24 licenses.
- Exhibit strong interpersonal, oral, and written communication skills.
If what is above sounds like what you're looking for, apply into this fast moving Chief Compliance Officer - Broker Dealer opportunity!
Salary : $170,000 - $200,000
