Chief Compliance Officer

Chief Compliance Officer Duties:

• Establish, maintain and upgrade standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues.
• Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls to minimize the residual risk of reputational damage, regulatory consequences and other operational risks.
• Oversee and manage the compliance program functions for the BD and IRA, including implementation of written supervisory procedures, transaction monitoring, AML compliance (FINRA Rule 3310), training and annual testing.
• Manage the licensing requirements and holdings for the BD, and IRA.
• Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities.
• Work with senior management, Legal, Compliance, HR, Marketing, registered representatives, and other key constituencies.
• Provide advice on MSRB, FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures.
• Ensuring that SARs, CTRs, and CIMRs are filed promptly and on time.

• Licenses: series 24, 7.
• Minimum 10 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting a Broker Dealer and/or RIA.
• Experience working with regulatory agencies and legal teams, both internal and external.
• Experience with US Anti-Money Laundering regulations and best practices.