Chief Compliance Officer
About the Company
Prominent financial services company
Industry
Financial Services
Type
Privately Held
Founded
1859
Employees
5001-10,000
Categories
About the Role
The Company is seeking a Chief Compliance Officer to join their dynamic team. The successful candidate will be responsible for maintaining, developing, and managing the overall compliance program functions. This includes providing compliance support and guidance related to wholesale distribution functions, monitoring and ensuring adherence to FINRA, SEC, State, and Insurance department laws, and overseeing the EDL's compliance program for regulatory requirements. The role also involves managing regulatory examinations, inquiries, and reviews, as well as leading a compliance team that provides day-to-day support and handles insurance licensing/FINRA registration processing. Applicants for the Chief Compliance Officer position at the company should have a Bachelor's degree, FINRA Series 6 or 7 and 26 or 24, and a minimum of 7 years' of established compliance experience, preferably with a wholesale distributing broker dealer. The ideal candidate will have a strong understanding of SEC, FINRA, and State Insurance laws, as well as experience with variable products, mutual funds, and their distribution. Key skills include the ability to manage multiple priorities, work independently, and ensure compliance with financial industry regulations. The role requires a professional with a proactive, self-motivated approach, and the ability to think creatively while maintaining a high standard of accuracy and attention to detail.
Hiring Manager Title
Equitable Financial Chief Compliance Officer
Travel Percent
Less than 10%
Functions
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