Chief Compliance Officer
Broker-Dealer
New York City
We are representing an established boutique broker-dealer in their search for a Chief Compliance Officer.
Why Join Us:
- Privately held fast-growing and profitable company
- Opportunity to participate both in operational compliance matters and strategic projects as the business grows
- Participating in team growth strategy for compliance program
Responsibilities:
- Reporting to the CEO, you will oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, policies, training, annual testing, transaction monitoring, and AML compliance
- Independently manage FINRA relationship, including examinations and routine regulatory requests
- Manage the firm’s FINRA Gateway filings (i.e., Forms BR, BD, U4s, U5, etc.), coordinate efforts related to broker-dealer audits, inspections, reviews, and examinations, monitoring complaints and reporting as necessary
- Conduct the Annual Supervisory Review and Testing, and corresponding CEO certification under FINRA Rules 3120 and 3130
- Manage all aspects of the firm’s AML compliance program, including maintenance of AML policies, conducting AML annual training, and managing annual independent audit
- Oversee completion of training, as required (e.g., Annual Compliance Meeting, Firm Element, Regulatory Element, etc.)
- Maintain procedures to review and investigate outside business activities to ensure regulatory compliance and mitigate any potential conflicts of interest
- Maintain and Watch List and Restricted List and lead efforts around employee personal trading compliance
- Identify areas of potential compliance risk and vulnerability; oversee and drive effective resolution, reporting to senior management, as necessary
- Communicate compliance issues and trends and provide routine compliance reports to management.
- Support business teams (e.g., investment banking, equity research and sales and trading) with input on regulatory compliance considerations and implications of their work
- Liaise with legal and compliance staff at affiliated entities to foster strong internal controls and mitigate risk
Requirements:
- Demonstrable experience leading a compliance program at a broker-dealer, including strong working knowledge of FINRA Rule 2241 and various rules related to investment banking compliance and regulatory filing
- Essential Education: Bachelor’s Degree
- You will have a proven operational compliance focus including exposure from a small to medium sized business, with demonstrable exposure to working independently in a hands-on capacity
Application Process for Chief Compliance Officer:
Qualified professionals are to submit Resume to Steve Harrison at: steve@conselium.com
Published by Conselium Executive Search, the global leader in compliance search.
