Chief Executive Officer

CEO Recruitment Overview U.S. Securities Industry

Position Overview

We are seeking an experienced CEO with in-depth knowledge of U.S. securities regulations to join our team. The successful candidate will ensure compliance across all business operations while providing strategic leadership, decision-making, and operational support for the companys growth.

Key Responsibilities

Collaborate with senior management to define corporate strategy and lead business expansion (including equities, fixed income, derivatives trading, and wealth management).

Oversee daily operations, ensuring compliance with SEC, FINRA, and state regulatory requirements, and establish a robust internal control framework.

Manage capital, liquidity risk, and key relationships with clearing agencies, investors, and business partners.

Demonstrate proficiency in algorithmic trading systems, order management systems (OMS), SEC electronic disclosures (EDGAR), and FINRA TRACE reporting.

Handle SEC investigations, client litigation, complaints, and systemic risk events.

Mandatory Requirements

1.relevant experience in Broker-dealer.

2.and holds a 24 series Principal registration.

3.experience in oversee retail trading activities.

Preferred Qualifications

5+ years in an executive role (CEO/COO or equivalent) at a U.S.-registered broker-dealer, with experience managing substantial assets or trading operations.

Strong communication skills to lead cross-functional teams and drive decision-making.

Analytical and problem-solving abilities to address complex operational challenges.

High ethical standards and a passion for corporate leadership.

We Offer

Competitive compensation package.

Career development and training opportunities.

Flexible work arrangements.

A supportive and innovative work environment.