Chief Compliance Officer (CCO)
About the Company
Accomplished broker-dealer
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to join their team. The CCO will be responsible for managing and providing strategic guidance on local, state, and federal governmental requirements for financial institutions, with a focus on KYC, BSA, AML, and OFAC. This role involves acting as the direct supervisor of the company's Regulatory Compliance and Financial Crimes Compliance, identifying and mitigating compliance risks, and ensuring the development and implementation of compliant policies and procedures. The CCO will also be involved in compliance audit testing, managing external audits, and collaborating with various departments to address and resolve compliance issues. Applicants for the CCO position at the company must have a Bachelor’s degree, Series 14 or 24, and at least 3 years of equity compliance experience with an investment bank or U.S. broker-dealer. The role requires in-depth knowledge of SRO and SEC regulations, as well as experience in dealing with examinations, audits, and regulatory inquiries. The ideal candidate will have a strong understanding of equity products and the ability to multitask in a deadline-driven environment. Responsibilities also include overseeing compliance training programs, participating in risk analysis, and providing regular reports to senior management and the Board of Directors on compliance efforts.
Travel Percent
Less than 10%
Functions
...Job summary The Project Manager, BI and Analytics Delivery will manage the execution of data and analytics projects and solutions... ...data and analytics tools and platforms (e.g., SQL, Python, Tableau, Power BI)~ Adept in leveraging relationships to enhance business...
...at Our Community Hospital! Are you an experienced Laboratory Manager looking to make a meaningful impact in a close-knit, patient-focused... ..., and support a dedicated team. Your Role: Manage daily lab operations, staffing, and workflow Maintain quality control...
Join to apply for the Front-End Developer role at Peraton LabsJoin to apply for the Front-End Developer role at Peraton LabsGet AI-powered... ...certification of operational software.#MDPMSCA / Union / Intern Rate or RangeDetailsTarget Salary Range: $104,000 - $166...
...Benefits: Flexible schedule Opportunity for advancement Paid time off Training & development As a Digital Print Production Operator , you will be responsible for job setup and printing using our Xerox cut-sheet digital printers. You will be in...
Investment Operations & Contract, Licensing and Registration Assistant(Full Time & In Office) JOB DESCRIPTION Primary Duties:* Open and distribute mail. Prepare outgoing NMIS pouch mail or overnight mail.* Maintain daily bank deposits, check and order...