Chief Compliance Officer; Hybrid- Glenview, IL
Listed on 2025-12-13
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Finance & Banking
Regulatory Compliance Specialist, Risk Manager/Analyst
Chief Compliance Officer (Hybrid)-Full Time
Location:
Glenview, IL, 60025
Lead with Vision:
Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.Stay Ahead of the Curve:
Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.Innovate with Technology:
Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.Engage Proactively:
Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.Navigate Complexities:
Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.Organize with Precision:
Ensure timely completion of regulatory filings, audits, and internal reviews.Lead Investigations:
Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.Evaluate and Improve:
Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.
At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
Self-directed brokerage experience desired.
Series 7, 24, and 65/66 licenses required.
A Bachelor's Degree is essential, and CAMS certification is preferred.
Exceptional organizational, analytical, and problem-solving abilities.
Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
A proven ability to multitask and thrive in a fast-paced environment.
Strong team player with excellent coaching, feedback, and listening skills.
Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Innovative trading platform!
Supportive team culture!
Career advancement opportunities!
Focus on professional growth!
Competitive salary and benefits!
Work with industry experts!
Cutting-edge technology!
Client-centric approach!
Dynamic work environment!
Strong reputation in finance!
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