Chief Compliance Officer

TradeStation • Plantation, FL

2d • Hybrid

About The Position

TradeStation is seeking an experienced Chief Compliance Officer (CCO) for a Retail Broker-Dealer and Futures Commission Merchant (FCM). The CCO will be primarily responsible for ensuring compliance with SEC, CFTC, FINRA, NFA, and other regulatory organization and state rules/regulations, as well as all other federal statutes and developments. The CCO will evaluate business risk in accordance with policies, goals, and objectives established by the organization. The CCO is also accountable for the design and execution of the compliance program for the organization and to ensure that a strong culture of compliance is maintained at the highest level. This opportunity is ideal for a candidate interested in and experienced in building and expanding a retail broker-dealer and/or FCM. The ideal candidate should have an entrepreneurial spirit, possess strong leadership skills, and take a hands-on approach in their everyday dealings within the organization.

Requirements

• Experience with all aspects of trading various asset classes including marketing and communications, account opening, onboarding and funding, execution, clearing, settlement, and reporting
• Ability to understand the technical aspects of an online trading business and the compliance systems which support it
• Ability to supervise a large team of experienced compliance professionals
• Must possess strong communication, organizational and analytical skills
• Requires a bachelor's degree in area of specialty and at least 15 years of experience in the field
• Previous broker-dealer and FCM compliance experience is essential
• FINRA Series 7, 3, 14, 24

Nice To Haves

• Entrepreneurial spirit
• Strong leadership skills
• Hands-on approach

Responsibilities

• Administer the company’s policies and procedures to ensure reasonable compliance with securities and commodity futures industry rules and regulations for a self-clearing broker-dealer/FCM
• Establish procedures, in consultation with the board of directors or the President, for the handling, management response, remediation, retesting, and closing of compliance issues (breaches, gaps, etc.)
• Prepare and sign the annual reports required under applicable rules
• Process and maintain company registrations
• Plan and coordinate employee training sessions
• High-level participation at board and risk committee meetings
• Respond to regulatory requests and oversee regulatory examinations and investigations
• Track laws and regulations that might affect the organization's policies and implement necessary changes
• Supervise the Compliance Department’s efforts and work closely with AML
• Work closely with Risk Management, Internal Audit and Legal Departments, as appropriate
• Oversee, manage and improve technology systems used for all aspects of compliance

Benefits

• Collaborative work environment
• Competitive Salaries
• Yearly bonus
• Comprehensive benefits for you and your family starting Day 1
• Unlimited Paid Time Off
• Flexible working environment
• TradeStation Account employee benefits, as well as full access to trading education materials

What This Job Offers

• Job Type: Full-time
• Career Level: Executive