social capital resourcesBrooklyn, NY
Chief Compliance Officer
Chief Compliance Officer
Chief Compliance Officer
social capital resourcesBrooklyn, NY
4 days ago
Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment Activities
Apply for this role (opens in a new tab)Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position!
Responsibilities:
- Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.
- Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.
- Responsible and accountable for the design, implementation, administration, and effectiveness of the broker-dealer compliance program
- Advise senior management on regulatory developments, compliance risks, and control enhancements
- Manage an existing team of compliance professionals and continue building out
- Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SECBuild and manage a high-performing compliance team supporting the broker-dealer
Qualifications:
- Bachelor's Degree 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.
- Strong knowledge knowledge of FINRA rules, SEC regulations, and broker-dealer supervisory requirements
- Prior experience in a fin-tech based firm is a plus
- Previous management experience is a must
- Must have a Series 7 & 24 Strong and established experience working directly with the various regulators
Also on the board Same function, level within a rung
Level
Director
Location
Brooklyn, NY
Occupation
Compliance Managers
Industry
Investment Banking and Securities Intermediation
Posted
4 days ago