Are you ready to take charge of compliance within a dynamic institutional broker dealer environment? We're seeking an experienced Chief Compliance Officer - Broker Dealer who will ensure that our operations adhere strictly to financial regulations and ethical standards. This pivotal role is based in the vibrant city of Charlotte, North Carolina-a hub for finance professionals looking for growth and challenge. This role will be working in office Monday - Thursday, and offers the opportunity to work from home on Friday's. If you are looking to take your career to the next level, apply into this Chief Compliance Officer - Broker Dealer opportunity now!
The Chief Compliance Officer - Broker Dealer will be responsible for:
- Stay well-informed about the business and its operations to provide effective compliance oversight and allocate resources appropriately as the business evolves. Offer guidance on new and developing compliance matters.
- Supervise the upkeep of policies and procedures within the firm's Written Supervisory Procedures and anti-money laundering program.
- Provide guidance to the business on SEC, FINRA, MSRB, and SRO laws, rules, and regulations, with a special emphasis on broker-dealer rules and regulations.
- Oversee communications with regulatory bodies and spearhead regulatory examinations and investigations.
The Chief Compliance Officer should have the following qualifications:
- Possess a minimum of 10 years of experience in institutional broker-dealer operations.
- A Bachelor's degree.
- Hold FINRA Series 7, 63, and 24 licenses.
- Exhibit strong interpersonal, oral, and written communication skills.
If what is above sounds like what you're looking for, apply into this fast moving Chief Compliance Officer - Broker Dealer opportunity!
