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
...pay range $65,000.00/yr - $90,000.00/yrCTP is looking for a copywriter.Someone who knows how to take a brief, find the right angle,... ...Referrals increase your chances of interviewing at CTP by 2xFreelance Digital Content Producer, NBC Sports Boston NCLEX Traditional...
...Job Description Job Description $26 an hour *****This position is 100% remote***** Nurse Telephone Triage Service, LLC, a dynamic, fast growing triage company is seeking RNs with both pediatric and adult experience to join our team. And for those that prefer to...
...Factory is looking for innovative AI Engineers to build and evolve cutting-edge AI systems that transform how software organizations accelerate their productivity and innovation. What you will do and achieve: Innovate at the forefront of AI by designing, developing...
...events such as banquets and meetings Additional responsibilities as assigned Requirements: ~4+ yrs experience as a custodian, janitor, housekeeper in a manufacturing or office environment ~ Experience working for a professional janitorial company, office complex,...
You could be a Designer anywhere. Why us?Join a pre-IPO startup with capital, traction, and runway ($240M funded, profitable, 60X revenue... ...first super app to help people optimize all aspects of owning a car - insurance, buy/sell, registration, loans, safety, repairs,...