Chief Compliance Officer
About The Position
Oversee trading activity to ensure compliance with federal securities laws, FINRA regulations, and internal risk policies. Serve as a trusted compliance partner to internal teams by offering regulatory guidance and interpreting relevant laws, rules, and exchange requirements. Draft, review, and implement internal compliance policies, with a strong focus on those governing trading activity. Conduct ongoing reviews of trading patterns and prepare reports highlighting compliance concerns or emerging risks. Cultivate productive relationships with regulatory bodies and other external stakeholders.
Requirements
- Previous experience (1-4 years) in a compliance or regulatory role at an options market maker, bank, broker dealer, or similarly regulated financial institution.
- BS/MS/BA degree in Finance, Accounting, Business, Law, or a related field.
- Series 24 license, or willingness to acquire the Series 24 in an expedited manner.
- Familiarity with SEC and FINRA rules and regulations, particularly in areas such as 15c3-5, trading activity, and trade reporting.
- Hands-on experience with compliance technologies, including trade surveillance tools and regulatory reporting systems.
- Strong analytical skills with the ability to work effectively in a cross-functional environment.
Responsibilities
- Oversee trading activity to ensure compliance with federal securities laws, FINRA regulations, and internal risk policies.
- Serve as a trusted compliance partner to internal teams by offering regulatory guidance and interpreting relevant laws, rules, and exchange requirements.
- Draft, review, and implement internal compliance policies, with a strong focus on those governing trading activity.
- Conduct ongoing reviews of trading patterns and prepare reports highlighting compliance concerns or emerging risks.
- Cultivate productive relationships with regulatory bodies and other external stakeholders.
Benefits
- Base salary represents just one part of overall compensation; all full-time, permanent roles are eligible for a discretionary bonus and benefits, such as paid leave and insurance.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Number of Employees
11-50 employees
