Skip to main content
McCarthy Search

Chief Compliance Officer

L8

social capital resourcesGlens Falls, NY3 days ago

Occupations

Compliance ManagersCompliance OfficersRegulatory Affairs Managers

Industries

Investment Banking and Securities IntermediationMiscellaneous IntermediationMiscellaneous Financial Investment Activities
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. FINRA-registered broker-dealer.
  • Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA 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 FINRA 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. FINRA-registered broker-dealer.
  • Strong knowledge knowledge of FINRA 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
Apply now (opens in a new tab)
Apply now (opens in a new tab)

Level

DirectorL8

Location

Glens Falls, NY

Occupation

Compliance Managers

Industry

Investment Banking and Securities Intermediation

Posted

3 days ago

To get sharper similar jobs, create your profile using the link below.

Create profile