Compliance Executive Self Clearing Broker-Dealer

Self-Clearing Broker Dealer seeks an experienced Chief Compliance Officer with a minimum of 5 years of experience in the same role at a Self-Clearing Broker Dealer. The candidate must have extensive experience supervising equities trading and in writing and updating Written Supervisory Procedures and firm policies.

• Establish and maintain standards and procedures that are effective in identifying, preventing, detecting, and remediating regulatory issues at a tech-enabled broker-dealer.
• Oversee the broker-dealer compliance program functions, including implementation of written supervisory procedures, transaction monitoring, AML compliance, training, and annual testing.
• Manage regulatory interactions, prepare submissions, and coordinate responses to inquiries from regulatory authorities.
• Monitor compliance issues and changes in regulations, reporting their impact on the organization to stakeholders.
• Oversee a team responsible for registrations and lead coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance, transaction monitoring, and reporting.
• Manage all aspects of the Firm’s AML compliance program (as outlined in FINRA Rule 3310).
• Handle additional projects as needed in a rapidly changing regulatory environment.

• Series 7 and 24 are required; if you do not already have them, you must attain them in a timely fashion.
• Minimum five years of experience in a senior compliance role (CCO, Director, or similar) within a Self-Clearing Broker‑Dealer.
• Strong understanding of regulatory and self-regulatory agency rules and regulations (specifically FINRA and SEC) with best practices in compliance management.
• Experience supervising equities; familiarity with options and fixed income is a plus; knowledge of relevant regulations as they apply to order routing, execution services, and electronic reporting.
• Ability to read and interpret regulations and implement changes, particularly as they relate to broker-dealer compliance.
• Strong project management, organizational, and communication skills with the ability to work independently, handle multiple projects, and present clear recommendations to business stakeholders.
• Experience building a good corporate culture and leading by example.
• Excellent leadership and communication skills and the ability to multitask.