Highlights
The Skills You Bring : Experience with all aspects of trading various asset classes including marketing and communications, account opening, onboarding and funding, execution, clearing, settlement, and reporting. The CCO is also accountable for the design and execution of the compliance program for the organization and to assure that a strong culture of compliance is maintained at the highest level.
Numbers & Facts
| Location | Plantation, Florida |
| Industry | Financial Services |
| Company Size | 100 to 499 employees |
| Year Founded | 1982 |
| Website | http://www.tradestation.com/ |
Description
TradeStation is the home of those born to trade. As an online brokerage firm and trading ecosystem, we are focused on delivering the ultimate trading experience for active traders and institutions. We continuously push the boundaries of what's possible, encourage out-of-the-box thinking, and relentlessly search for like-minded innovators. At TradeStation, we're building an AI-First culture: we expect team members to embrace AI daily, whether accelerating development, improving decisions, or streamlining processes. We encourage people to use AI responsibly, creatively, and consistently with our culture of compliance and corporate governance. Are you ready to make yourself at home? What We Are Looking For: We are looking for an experienced Chief Compliance Officer (CCO) for a Retail Broker-Dealer and Futures Commission Merchant (FCM). The CCO will assume primary responsibility for assuring compliance with SEC, CFTC, FINRA, NFA and other regulatory organization and state rules/regulations as well as all other federal statutes and developments. The CCO will evaluate business risk in accordance with policies, goals and objectives established by the organization. The CCO is also accountable for the design and execution of the compliance program for the organization and to assure that a strong culture of compliance is maintained at the highest level. This opportunity is an ideal role for a candidate who is interested and experienced in building and expanding a retail broker-dealer and/or FCM. Our ideal candidate should have an entrepreneurial spirit, possess strong leadership skills, and take a hands-on approach in his/her everyday dealings within the organization. What You’ll Be Doing:
The Skills You Bring:
Minimum Qualifications:
What We Offer:
TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws. #LI-Hybrid |
About Company
TradeStation Group, Inc., through its principal operating subsidiaries, TradeStation Securities, Inc. and IBFX, Inc. offers the TradeStation analysis and trading platform to the active trader and certain institutional trader markets. The TradeStation platform offers electronic order execution and enables clients to design, test, optimize, monitor and automate their own custom equities, options, futures and forex trading strategies. TradeStation acquired IBFX Holdings, LLC in November 2011, expanding TradeStation's forex business in the U.S. and globally. TradeStation is a wholly owned subsidiary of Monex Group, Inc., one of the largest online financial services providers in Japan.
TradeStation Securities, Inc. (Member NYSE, FINRA, SIPC, NSCC, DTC, OCC & NFA) is a licensed securities broker-dealer and a registered futures commission merchant, and also a member of the Boston Options Exchange, Chicago Board Options Exchange, Chicago Stock Exchange, International Securities Exchange and NASDAQ OMX. Its TradeStation Prime Services division, based in New York, seeks to provide prime brokerage services, including securities lending, to small and mid-sized hedge funds and other firms. IBFX, Inc. (Member NFA), a Retail Foreign Exchange Dealer (RFED), and IBFX Australia Pty. Ltd., authorized and regulated by the Australian Securities and Investment Commission, provide the company's forex brokerage offering. The company's technology subsidiary, TradeStation Technologies, Inc., develops and offers strategy trading software tools and sub ion services. TradeStation Europe Limited is an FSA-authorized brokerage firm that introduces UK and other European accounts to TradeStation Securities, Inc. and IBFX, Inc.
Monex Group, Inc. (Tokyo Stock Exchange 1st section: 8698; Chairman and CEO: Oki Matsumoto) provides online investment and trading services for retail and institutional customers around the world through its subsidiaries, including Monex in Japan, TradeStation in the U.S. and Europe, Monex Boom in Hong Kong and IBFX for forex business. Monex Group is pursuing its "Global Vision" strategy to establish a truly global online financial institution that creates positive synergies for all stakeholders.
Its main subsidiary, Monex Inc., one of the largest online securities brokerages in Japan, provides advanced and unique financial services to its nearly 1 million individual investors. Monex Group's services also cover M&A advisory, debt and equity underwriting, asset management focusing on alternative investments, investment education and other investment banking functions in Japan.