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Chief Compliance Officer

  • Location: New York, NY
  • Job Type: Direct Placement
  • Ref No: 22-07244
  • Date: November 23, 2022
  • Pay: $180000.0 - $220000.0 per Hour USD
  • Job title:

Job Description - Chief Compliance Officer

Title: CCO

Target Salary: 180-220k base

We are seeking a Broker Dealer Compliance professional to take on an CCO role in implementing, communicating, and reviewing the corporate policies, procedures, trends and work systems designed to enable the broker dealer and affiliated investment advisory practice to effectively manage risk and remain in compliance with the various regulatory authorities.

This hire will provide compliance support to the broker dealer with a specific focus on the equity trading business and will be responsible for daily support, drafting written supervisory procedures, surveillance report development, reviewing surveillance reports, issue identification and the ability to offer pragmatic solutions to monitor and prevent issues. Strong candidates should demonstrate an entrepreneurial drive and an ability to think strategically.

What we're looking for:

  • Bachelor's degree
  • 6+ years of relevant compliance experience
  • Series 7 required and Series 24 required
  • Prior experience with Financial Technology, online trading, algorithmic trading strongly desired.
  • Strong Excel Skills. Knowledge of VBA and SQL a plus.

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