Chief Compliance Officer (CCO)
About the Company
Accomplished broker-dealer
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to join their team. The CCO will be responsible for managing and providing strategic guidance on local, state, and federal governmental requirements for financial institutions, with a focus on KYC, BSA, AML, and OFAC. This role involves acting as the direct supervisor of the company's Regulatory Compliance and Financial Crimes Compliance, identifying and mitigating compliance risks, and ensuring the development and implementation of compliant policies and procedures. The CCO will also be involved in compliance audit testing, managing external audits, and collaborating with various departments to address and resolve compliance issues. Applicants for the CCO position at the company must have a Bachelor’s degree, Series 14 or 24, and at least 3 years of equity compliance experience with an investment bank or U.S. broker-dealer. The role requires in-depth knowledge of SRO and SEC regulations, as well as experience in dealing with examinations, audits, and regulatory inquiries. The ideal candidate will have a strong understanding of equity products and the ability to multitask in a deadline-driven environment. Responsibilities also include overseeing compliance training programs, participating in risk analysis, and providing regular reports to senior management and the Board of Directors on compliance efforts.
Travel Percent
Less than 10%
Functions
...details, this is your stage. WHAT YOU'LL DO Design seasonal, multi-course menus that spotlight origin and craft (with vegetarian/vegan/gluten -free variants when needed). Source responsibly: build relationships with small farms and specialty purveyors; write short...
Job Description Job Description Benefits/Perks Flexible Scheduling Competitive Compensation Career Advancement Opportunities Job Summary We are seeking a skilled Electrician to join our team! You will be responsible for installing and repairing wiring...
...Tuition assistance Do you have a passion for natural healing? Do you enjoy peaceful and therapeutic work environments? Hand & Stone Massage and Facial Spa - Reynoldsburg is proud to offer an inclusive and diverse workplace! Our administrative team is dedicated to making...
...re looking for a detail-oriented and motivated Entry-Level Medical Records Clerk to join New Paradigm Staffing , a growing healthcare... ...staffing agency focused on connecting skilled professionals with remote health information opportunities. This role is perfect for...
...exciting work projects and exposure to real-world challenges, CN interns benefit from a variety of activities specifically developed for... ...successfully develops the leaders of tomorrow! Intern, Market Analyst (Automotive) This is a full-time summer internship lasting...