Chief Compliance Officer
About the Company
Well-established institutional fixed income trading firm
Industry
International Trade and Development
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to lead its broker-dealer compliance program. The successful candidate will be responsible for maintaining in-depth knowledge of the business and activities to ensure adequate compliance oversight and resources. This includes providing guidance on emerging compliance issues, overseeing the maintenance of policies and procedures, and keeping the business up-to-date on SEC, FINRA, MSRB, and SRO laws and regulations, with a focus on broker-dealer rules. The CCO will also manage and lead regulatory exams, conduct firm and individual registration maintenance, and foster a culture of compliance throughout the organization. Applicants for the CCO position at the company should have a Bachelor's degree and at least 10 years' of institutional broker-dealer experience, preferably at a self-clearing firm. A Series 7, 63, and 24 is required, and knowledge of fixed income and related trade reporting and regulatory requirements is essential. A legal background is a plus. The role demands a professional with strong interpersonal skills, excellent communication, attention to detail, and the ability to work in a fast-paced environment. The CCO will be expected to lead the annual compliance program review, perform periodic tests to monitor the efficiency of the compliance program, and assist in the preparation of annual compliance reports.
Travel Percent
Less than 10%
Functions
...clients you see through Headway, so that you can set the hours that work for you. Grow your caseload by providing marketing support and... ...patients in-person or remotely via telehealth while working from home. We accept the following licenses on a state by state basis:...
Job Number: UAS Test Pilot (327609)Were more than aviation experts, were pioneers. We challenge whats possible. From breaking the sound barrier to advanced tiltrotor systems. Today, Bell is shaping the future of aviation through specialized engineering. And we want...
...the Quality Analyst will perform a variety of documentation related activities including but not limited to: hardware documentation review and approval, Nonconforming material management, and working specifically with Quality Engineering and Inspection. Requires...
Overview:$22.01 / hour Knotts Berry Farm is casting experienced pianists to support our daily entertainment operations. Applicants selected will be hired as a seasonal associate and should have open availability throughout 2025, especially weekends. An ideal candidate ...
...regional feed manufacturer, is looking for qualified candidates with a Class A CDL. This position will operate heavy trucks and trailers, bobtail... ...our customers are within a 200-mile radius of our location; Drivers will be home every night. Responsibilities & Duties...