Tasked with establishing, maintaining, and enhancing the firm's broker-dealer compliance framework, ensuring full compliance with applicable SEC and Client rules. Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position!
Numbers & Facts
Location
St. Petersburg, FL
Description
Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position!
Responsibilities:
Responsible for running and managing a compliance program for U.S. Client-registered broker-dealer.
Tasked with establishing, maintaining, and enhancing the firm's broker-dealer compliance framework, ensuring full compliance with applicable SEC and Client rules.
Responsible and accountable for the design, implementation, administration, and effectiveness of the broker-dealer compliance program
Advise senior management on regulatory developments, compliance risks, and control enhancements
Manage an existing team of compliance professionals and continue building out
Lead regulatory examinations, inquiries, and ongoing engagement with Client and the SEC
Build and manage a high-performing compliance team supporting the broker-dealer
Qualifications:
Bachelor's Degree
10+ years of relevant compliance experience, specifically in a U.S. Client-registered broker-dealer.
Strong knowledge knowledge of Client rules, SEC regulations, and broker-dealer supervisory requirements
Prior experience in a fin-tech based firm is a plus
Previous management experience is a must
Must have a Series 7 & 24
Strong and established experience working directly with the various regulators