Chief Compliance Officer

Millennium Advisors is currently seeking a Chief Compliance Officer to lead its broker-dealer compliance program. The successful candidate will be responsible for ensuring compliance with FINRA and SEC regulations, have the ability to work in a fast-paced environment, and will work collaboratively across all areas of the firm.

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Responsibilities will include :

• Maintain in-depth knowledge of the business and its activities to ensure adequate compliance oversight and resources as business needs evolve over time; advise on emerging compliance issues
• Provide compliance guidance to various groups and individuals at all levels throughout the firm on a regular basis
• Oversee maintenance of policies and procedures contained in the firm’s Written Supervisory Procedures and anti-money laundering program
• Keep apprised of relevant laws and regulations and advise the businesses on current and / or proposed rules and regulations
• Advise the business on SEC, FINRA, MSRB and SRO laws, rules and regulations, with a particular focus on broker-dealer rules and regulations applicable
• Manage interactions with regulators and lead regulatory exams and inquiries
• Ensure registration maintenance via FINRA Gateway is kept current and accurate
• Identify / respond to ongoing regulatory changes, ensure implementation of required policies / procedures and appropriate operational / compliance oversight
• Lead the annual compliance program review, report testing and findings to leadership
• Ensure periodic testing to monitor the efficiency of the compliance program and assist in the preparation of annual compliance reports and other ad hoc reviews
• Have the ability to “get in the weeds” and take on additional projects as needed
• Maintain and foster a culture of compliance throughout the organization

Desired Qualifications :

Compensation and Benefits :

In return for long-term commitment, we offer competitive compensation, including base pay and incentive compensation (which can include equity in the firm, subject to compensation agreements). Benefits include daily breakfast and catered lunch, monthly massages, paid time off, various leaves, company-sponsored medical and dental plans, long-term disability coverage, as well as a 401(k) plan with company matching contributions.

Culture :

At Millennium, you will work with intelligent, ambitious, friendly, and positive individuals. We are proud of the team and culture we have built. The office hosts amenities and activities to give our team opportunities to get to know one another and build meaningful relationships. We have a casual dress code, and our office sports pool and ping pong tables, music, group dining tables, and various comfortable meeting areas for collaboration.

Interested candidates should send resumes to recruiting@millenniumadvisors.com.

This is an on-site role in Charlotte, NC.

Millennium Advisors, LLC is registered as a broker-dealer in the U.S. with the U.S. Securities and Exchange Commission and the Financial Industry Regulatory Authority (CRD No. 151236). Millennium Advisors, LLC also is a member of the Securities Investor Protection Corporation. Additional information is available in FINRA BrokerCheck. Millennium Europe Limited is a registered broker-dealer in Europe and is authorized and regulated by the U.K. Financial Conduct Authority (Financial Services Register No. 632007). Millennium Consolidated Holdings, LLC (the “Group”) wholly owns subsidiaries Millennium Advisors, LLC and Millennium Europe Ltd.

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