AJ Consultancy | Chief Compliance Officer for Self ...

Self Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self Clearing Broker Dealer. Candidate must have Series 14 license. Individual must have experience in various asset classes including but not limited to equities, fixed income and options. Job Description: 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 that is responsible for registrations and lead the following: coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance and 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 What You'll Need: Bachelor's degree and Series 7, 24 required (Series 4 and 14 optional) Minimum 5 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting an electronic broker-dealer Strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management Familiarity with equities, options and fixed income; 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 it relates 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 in building a good corporate culture and leading by example. #J-18808-Ljbffr

Created: 2024-11-26