Chief Compliance Officer - Self Clearing Broker Dealer

We are seeking an experienced Chief Compliance Officer (CCO) for a self-clearing broker-dealer with a strong focus on equities and options trading. This senior role will oversee all aspects of trading compliance, risk management, and regulatory adherence, including proprietary trading and clearing operations. The ideal candidate is a strategic leader with hands-on experience in trading compliance, market risk, and regulatory supervision in a self-clearing environment.

• Advisory: Provide real-time compliance guidance to equities, options, electronic, and proprietary trading desks on SEC, Client, and internal policy requirements.

• Surveillance & Monitoring: Analyze trading activity to detect potential market manipulation, insider trading, and other regulatory violations.

• Policy & Procedures: Develop, maintain, and enforce Written Supervisory Procedures (WSPs), compliance manuals, and internal controls.

• Regulatory Liaison: Serve as the primary point of contact for regulatory examinations and inquiries from the SEC, Client, and other relevant authorities.

• Risk Management: Identify compliance and market risks, assess gaps, and implement effective controls for new products and trading initiatives.

• Control Implementation: Oversee restricted lists, wall crossings, equity and options derivatives compliance, and clearing-related operational compliance.

• Training & Education: Deliver compliance training for trading personnel on market abuse, insider trading, and firm policy updates.

• 7 10+ years of compliance experience in a self-clearing broker-dealer, financial institution, or related trading environment.

• Deep understanding of U.S. equity and options market structure, trading rules, and clearing operations.

• Strong experience in trading compliance, risk management, proprietary trading supervision, and market surveillance.

• Familiarity with SEC and Client regulations and regulatory examination processes.

• Proven ability to develop and enforce compliance policies, procedures, and controls.

• Exceptional leadership, communication, and advisory skills.

• Series 24 (General Securities Principal) preferred.

• Experience with self-clearing broker-dealer operations and clearing risk management.

• Strong analytical skills with the ability to assess complex trading strategies and risk exposures.

• Ability to interact effectively with senior management, regulators, and internal stakeholders.