Chief Compliance Officer

EQUITY ADMINISTRATIVE SERVICES INC AND AFFILIATES•Dallas, TX

3h•Onsite

About The Position

The Chief Compliance Officer directs all aspects of ETC Brokerage Services compliance affairs. The role oversees the company’s regulatory compliance programs. They serve as the compliance liaison for the Executive Team, Board of Directors, and external regulators. The CCO is a senior level role and has direct access to the ETCB CEO and President.

Requirements

Bachelor’s Degree in Business or Financial discipline
Minimum of seven (10) years of work experience in compliance, risk, supervision, audit department(s) of financial services organization required (broker-dealer experience strongly preferred)
FINRA Series 7, & 24 required
Familiar with regulatory requirements in securities markets environment
Demonstrated experience implementing and maintaining a compliance program within a FINRA regulated self-clearing or correspondent clearing organization
Must have good communication skills (verbal and written) and have a successfully demonstrated record of conducting affairs and duties as a team member
Extensive FINRA, MSRB and SEC regulations knowledge

Nice To Haves

FINRA Series 14 preferred
Strong analytical skills and proficiency working with Microsoft Excel and Power Point preferred
Experience with IRS rules and regulations related to Retirement Accounts and tax reporting applicable to such accounts preferred

Responsibilities

Monitors compliance with Company policy and regulatory guidelines to ensure compliance with FINRA, SEC, MSRB, State regulations, and all other applicable requirements as mandated by regulation or firm policy.
Directs a staff of Compliance Professional(s) to assist in executing regulatory requirements and focuses on the development of such staff
Provides periodic reporting and updates to senior management and the Board of Directors on the Company’s current Compliance and Risk Management efforts
Serves as a resource to the Board, senior management, and department heads regarding applicable regulatory requirements, quality controls, internal controls, communications, reporting and management information systems, monitoring, and process improvements
Manages the firm’s Compliance Program, including CIP, BSA/AML, OFAC, SAR, CAT and FinCEN reporting
Communicates with the Company’s internal and external auditor(s) to help ensure Company goals and objectives pertaining to Compliance are being met,
Takes a proactive role in regulatory requirements including assessments and testing of firm activities, identifying essential knowledge to disseminate to the firm, managing the day to day compliance operations,
Responsible for regulatory management including identifying amended and new regulatory requirements, assessing firm standing in areas of regulatory focus, regulatory inquiries and exams.
Collaborates, designs and executes on implementing efficient workflows for compliance requirements that entails centralized supervisory and record keeping- for example, marketing materials review
Implements programs/initiatives to enhance compliance awareness and seeks to continuously improve the existing Company’s Compliance program
Assists with the review of all Company forms, marketing and educational materials, and all internal and external Company communications including confirmations, statements and client correspondence
Assists and supports various stakeholders with drafting, reviewing, and modifying all broker dealer compliance related policies and procedures
Implements and directs the Company’s record retention program
Perform other duties as assigned by the ETCB Chief Risk Officer, President, CEO or Board
Travel to various locations, both within our organization and externally, may be required depending on your role and responsibilities.