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
