Chief Compliance Officer
Chief Compliance Officer
Roots Recruiting
New York City Metropolitan Area
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Our client, a broker-dealer, is seeking a Chief Compliance Officer (CCO) in New York, NY to play a pivotal role in ensuring adherence to regulatory requirements and firm policies. Here's a breakdown of the responsibilities and qualifications based on the provided information:
Responsibilities:
Ensure Regulatory Compliance:
- Monitor and ensure compliance with regulatory requirements from FINRA, SEC, and other relevant bodies.
- Implement and maintain compliance programs to mitigate risks.
Manage Compliance Programs:
- Develop, implement, and oversee compliance programs to uphold regulatory standards.
- Manage Compliance Personnel:
- Supervise and lead a team of experienced compliance professionals.
Handle Regulatory Examinations:
- Manage internal and external regulatory audits, inquiries, investigations, and exams.
Point of Contact for Regulatory Bodies:
- Act as the designated point of contact with regulatory bodies such as the SEC, FINRA, and state regulators.
Provide Support and Training:
- Offer guidance, training, and support to front-office and operational staff regarding FINRA and SEC rules.
Risk Assessment and Reporting:
- Identify current and emerging regulatory risks, implement risk mitigation plans, and report to senior management.
New Business Assessment:
- Collaborate with internal stakeholders to evaluate compliance implications of new business products and services.
Regulatory Impact Assessment:
- Review, interpret, and assess the impact of proposed SEC and FINRA rules and regulations.
Testing and Verification:
- Develop and execute testing programs to verify compliance with relevant regulatory rules.
Manage Employee Compliance:
- Oversee employee compliance matters including personal account trading, outside business interests, and conflicts of interest.
Review Marketing Materials:
- Review and approve marketing materials and other public communications to ensure compliance.
Chaperone ECM Activity:
- Act as a chaperone for ECM (Equity Capital Markets) activities as needed.
Experience Required:
- 8+ years of broker-dealer compliance experience: Demonstrating a deep understanding and track record in compliance within the financial services industry.
- Extensive knowledge of FINRA, SEC, and regulatory requirements: Proficiency in navigating and applying regulatory frameworks.
- Series SIE, 7, and 24 licenses: Necessary licenses indicating proficiency in securities regulations.
- Experience in Equity Research and/or ECM desirable: Additional experience that would be beneficial for understanding specific operational areas within the firm.
- Strong written and communication skills: Essential for effectively communicating compliance policies and issues.
- Additional Qualities:
- Self-starter: Ability to take initiative and drive compliance initiatives independently.
- Attention to detail: Critical for ensuring thorough compliance and adherence to regulatory standards.
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Seniority level
Executive -
Employment type
Full-time -
Job function
Other -
Industries
Investment Banking and Investment Management
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