We are exclusively representing the fastest growing tech-enabled investment banking platform for dealmakers in its search for a new Chief Compliance Officer.
Why Join Us:
- Be a part of a team delivering a one-stop-shop to collaborate, engage and drive results for independent M&A advisories, placement agencies, and boutique investment banks.
- Join the mission to power dealmakers by developing the largest decentralized investment banking platform in the world by replacing a fragmented and rigid infrastructure with a unified and customizable white-labelled platform and enabling its clients to win and close more deals.
Expectations first 12 months
- Manage the firm’s compliance program and supervision program as it continues to rapidly expand its presence across the U.S. while also establishing a footprint overseas.
- Serve as the firm’s Office of Supervisory Jurisdiction and oversee all aspects of the firm’s sales activities.
Principal Responsibilities
- Maintenance and implementation of the firm’s policies and procedures; and recommend revisions in response to regulatory changes.
- Carry out and enforce the firm’s supervisory procedures to include overseeing email surveillance, review of engagement letters, subscription agreements, licensing, and registration.
- Advocate within the compliance team and proactively explore opportunities for the Client’s product and technology team and outside vendors to deliver (1) a frictionless customer experience, and (2) a scalable and cost-efficient compliance program.
- Assist in document production and responses to regulatory inquiries and audits and manage a productive relationship with regulators.
- Administer the annual firm element CE training program and annual compliance meeting.
- Reviews the firm’s engagement letters for compliance with standards and firm protocols.
- Perform and oversee initial and ongoing due diligence of M&A securities engagements, and private placements, including the deal data rooms.
- Conduct suitability reviews of prospective institutional/accredited investors.
- Work with the IT team to identify operational and technical solutions to enhance the firm’s compliance efficiencies and leverage technology.
- Review and approve marketing materials (i.e., confidential information memorandum, pitch decks) for institutional use.
- Respond to general compliance inquiries from the internal staff and the firm’s registered representatives and support staff.
- Identify, investigate, and escalate potential sales practice misconduct and carry out the appropriate disciplinary action.
- Conduct supervisory audits of the office locations as required.
- Assist with general compliance matters as designated including, but not limited to, pre-hire review of prospective registered representatives, outside business activities, private securities transactions, and outside brokerage account transactions.
- Provide exceptional and expeditious service to the firm’s RRs and support staff in line with the firm’s SLAs.
- Represent Client at FINRA-sponsored conferences and events.
- Work with the CEO to strategize new compliance and product opportunities to enable Client’s expansion efforts.
Qualifications:
- Bachelor’s degree in business or finance and at least or five years of compliance related work experience in the securities/finance industry. JD with corporate law experience is preferred.
- First-hand experience creating innovative technology-based compliance solutions.
- FINRA Series 7, 24, 63 and Series 79.
- Proficient understanding of the SEC and FINRA rules applicable to broker-dealer compliance. Experience in capital markets is a plus.
- Ability to read, analyze, and interpret general business periodicals, professional journals, technical procedures, or governmental regulations.
- Ability to write reports, business correspondence, and procedural manuals.
- Spanish fluency preferred.
Application Process- Qualified professionals are to submit resume to Jessica Simpson at: jessica@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
