Chief Compliance Officer - Broker/Dealer

A leading Financial Trading company (based in Jersey City, New Jersey) are looking to recruit a 'Chief Compliance Officer'.

 

This is a permanent role, hybrid working (3 days in the New Jersey office.)

 

The salary is paying up to $200k basic dependant on experience, plus benefits.

 

You must have FINRA Licenses: 7, 63 and 24 and have worked in a similar role to be considered.

 

Job Responsibilities

• Oversee and manage the firm’s compliance program. Work with the President, and other senior colleagues to implement best practices.
• Perform risk assessments, monitoring and surveillance activities, and engage in project management to support the compliance program and ensure best practices.
• Act as the primary AML Officer.
• Review and enhance the firm’s market access program.
• Review and maintain the firm’s WSPs.
• Assist with communications with regulatory bodies including preparation of regulatory filings.
• Lead and manage all regulatory exams, inquiries, and new compliance program initiatives.
• Work with the operations staff to identify observations of trends and recommendations to optimize data.
• Execute appropriate testing and analyze key performance indicators to confirm requirements of the business policies and programs are maintained at a level commensurate with regulatory expectations.
• Prepare complete, accurate documentation of compliance monitoring and surveillance activities
• Report findings to the teams and provide timely follow-up on outstanding issues.
• Perform other duties as required and assigned by manager and upper management.

 

Job Requirements

• Experience in a compliance role with a broker-dealer with particular knowledge of equity markets, 15c3-5 market access controls, and AML regulations.
• FINRA Licenses: 7, 63 and 24 Required. Series 79, 55 desirable.
• Demonstrate knowledge of U.S. securities laws, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and other SEC & FINRA regulations.