A leading, full-service investment banking firm is looking for you to join the team as it's next Chief Compliance Officer! This is an incredibly exciting to join the team where you will lead the broker dealer side of the business. The ideal candidate has at least 10 years of experience working within BD compliance, has an active Series 7 & 24, and has experience leading a small team. If what is below sounds appealing and in line with your experience, apply into this Chief Compliance Officer opportunity now!
The Chief Compliance Officer will be responsible for:
- Manage broker-dealer compliance programs, including Written Supervisory Procedures (WSPs), training initiatives, Anti-Money Laundering (AML) compliance, licensing, annual testing, and ongoing education programs.
- Act as the firms POC/liaison between regulatory agencies for any inquiries.
- Conduct reviews of equity and policy research reports to ensure compliance with regulatory standards.
- Offer guidance and serve as the firm's subject matter expert on complex regulatory issues, compliance rules, and procedures for Investment Banking, Research, and Trading.
The Chief Compliance Office should have the following qualifications:
- Bachelor's degree from an accredited institution.
- Active Series 7 & 24.
- Proven expertise in the rules, regulations, and best practices governing broker-dealer operations.
- Excellent verbal and written communication skills.
This is a fast moving opportunity, so don't miss your chance to become this leading investment bank's Chief Compliance Officer!
