An established financial services firm is seeking an experienced Chief Compliance Officer (CCO) to lead its regulatory compliance function. This senior leadership position will oversee the firm's broker-dealer compliance program, advise executive management, and ensure effective controls across trading, supervision, and business operations.
The ideal candidate brings extensive broker-dealer regulatory experience, strong knowledge of FINRA and SEC requirements, and a hands-on approach to compliance leadership.
RESPONSIBILITIES- Lead the firm's overall compliance strategy, ensuring adherence to SEC, FINRA, and applicable federal and state securities regulations.
- Serve as the primary point of contact for regulatory examinations, inquiries, audits, and supervisory reviews.
- Develop, maintain, and enhance written supervisory procedures (WSPs), compliance policies, and internal control frameworks.
- Oversee trade surveillance, transaction monitoring, and supervisory controls to identify potential regulatory violations and market conduct risks.
- Manage the firm's AML compliance program, including suspicious activity monitoring, investigations, SAR filings, and employee training.
- Provide ongoing regulatory guidance to executive leadership, sales and trading teams, and other business stakeholders.
- Supervise compliance reviews covering employee trading, outside business activities, political contributions, and other regulated activities.
- Conduct periodic inspections of branch offices and Offices of Supervisory Jurisdiction (OSJs), addressing identified deficiencies.
- Oversee regulatory compliance for advertising, research materials, electronic communications, and other public-facing content.
- Coordinate regulatory filings, compliance reporting, and responses to examination findings.
- Develop and deliver compliance training and continuing education initiatives.
- Identify emerging regulatory risks and implement corrective measures to strengthen the firm's compliance environment.
QUALIFICATIONS- Minimum 10 years of financial services compliance experience, preferably within a broker-dealer environment.
- Active FINRA Series 7 and Series 24 licenses.
- Bachelor's degree in Finance, Business, Law, or a related discipline, or equivalent professional experience.
- Comprehensive understanding of SEC regulations, FINRA rules, and broker-dealer supervisory requirements.
- Experience overseeing compliance programs, working with compliance teams, and engaging directly with regulators and self-regulatory organizations.
- Strong background in AML compliance, trade surveillance, regulatory monitoring, and employee compliance training.
- Demonstrated experience managing regulatory examinations, internal audits, and remediation initiatives.
- Knowledge of surveillance systems, compliance testing, supervisory controls, and regulatory reporting.
- Strong leadership, communication, analytical, and organizational skills.
- Ability to manage competing priorities, resolve complex regulatory issues, and advise senior stakeholders effectively.
PREFERRED EXPERIENCE- Previous experience in a senior broker-dealer compliance leadership position.
- Familiarity with sales and trading compliance and branch supervision.
- Spanish-language proficiency.