The Chief Compliance Officer will oversee and enhance the firm's compliance program, ensuring adherence to regulatory requirements and internal policies.
They will manage compliance functions such as training, registration, complaint handling, internal reviews, and regulatory filings, while fostering a strong compliance culture.
The role involves building relationships with regulators, supporting audits, and providing regular reports to senior management.
Qualified candidates should have 15+ years of senior compliance experience in financial services, with deep knowledge of US regulations, FINRA, SEC rules, and ATS obligations.
Essential skills include strong communication, organization, analytical thinking, and the ability to work independently.
A degree is required, with JD or Master’s preferred, and prior experience developing compliance programs, especially in startup environments, is highly valued.