Larson Maddox

Chief Compliance Officer

Larson Maddox New York, United States
Larson Maddox

Chief Compliance Officer

Larson Maddox New York, United States
2 weeks ago 111 applicants

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Olivia Karson

Olivia Karson

Principal Recruitment Consultant at Larson Maddox

A boutique, rapidly-growing broker-dealer firm who has previously outsourced its compliance program is looking to bring on an in-house Chief Compliance Officer. This seat with report directly into the CEO and work alongside the firm's FinOp to ensure compliance with FINRA/applicable regulations. This is a fully remote position operating on traditional EST workday hours.

Title: Chief Compliance Officer

Location: Fully Remote (EST working hours)

Salary: $135,000-$150,000/yr (plus discretionary bonus)

Key Responsibilities:

  • Serve as firm subject matter expert on all FINRA regulations, including running annual trainings
  • Liaise with firm FinOp on quarterly regulatory filings
  • Ensures all WSPs are accurate and up-to-date
  • Spearhead compliance functions related to email review and personal trading approvals

Key Requirements:

  • Bachelor's degree in related field
  • Series 24 license (other FINRA licensing a plus)
  • At least 5 years' experience in compliance at a registered broker-dealer
  • Must have experience directly liaising with FINRA

  • Seniority level

    Mid-Senior level

  • Employment type

    Full-time

  • Job function

    Finance, General Business, and Accounting/Auditing

  • Industries

    Professional Services, Research Services, and Financial Services

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