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Interim CCO - Startup Stealth Broker Dealer - Fintech - Remote

  • Location: Boston, MA
  • Job Type: Contract
  • Ref No: 23-00431
  • Date: January 30, 2023
  • Pay: $75.0 - $80.0 per Hour USD
  • Job title:

Job Description - Interim CCO - Startup Stealth Broker Dealer - Fintech - Remote

TITLE: Interim CCO - Startup Stealth Broker Dealer - Fintech - Remote

Location: remote

Interim Chief Compliance Officer for a Newly Formed Broker-Dealer

Our client is looking for candidates who are interested and experienced in building and expanding a new broker-dealer. Our ideal candidate should have an entrepreneurial spirit, possess strong leadership skills and take a hands-on approach in his/her everyday dealings within the organization.

  • CCO shall have responsibility for:
    • Evaluating the firm's regulatory and compliance risks;
    • Designing and implementing a comprehensive broker-dealer compliance program and supervisory structure that is reasonably designed to ensure compliance with applicable laws, rules, regulations and industry best practices;
    • Drafting, implementing and maintaining all necessary written supervisory procedures, compliance policies and controls;
    • Interfacing with all regulatory bodies and self-regulatory organizations, including SEC, Client, CFTC, NFA and state securities regulators;
    • Supervising regulatory examinations, inquiries, internal audit reviews and related remediations;
    • Conducting various internal testing/investigations, including auditing and providing written reports to senior management;
    • Providing oversight of legal entities, branch offices, business units and processes;
    • Preparing and submitting all required regulatory filings;
    • Advising on AML/KYC and related matters including the review and approval of wires and new accounts as well as the annual AML independent audit;
    • Monitoring employee compliance with policies and procedures;
    • Organizing and lead compliance training programs; and
    • Ongoing review of regulatory requirements/updates that may lead to policy changes.
  • Required Qualifications:
  • Bachelor's degree in business, finance, or other applicable discipline;
  • Seven to ten years of dynamic broker-dealer compliance experience in the securities industry with a thorough understanding of the federal and state securities laws and the rules of the SEC, Client, NFA and MSRB;
  • Client Series 7, 24, and 63 preferred;
  • Competent with drafting, reviewing, implementing, and managing compliance policies and procedures;
  • Ability to communicate effectively, both verbally and written, to various audiences including regulatory agencies and addressing any related inquiries and audits;
  • Ability to establish working relationships with individuals and teams both inside and outside of the firm; and
  • Orientation towards process improvement and the ability to think and work at both strategic and tactical levels as required.
  • Preferred Qualifications
    • Juris Doctorate (JD) degree from an accredited U.S. school of law
    • Ex perience with digital assets
    • Experience with ATS compliance and operations
    • Experience with Client New Membership Application Process

About Infinity Consulting Solutions

At Infinity Consulting Solutions our mission is to cultivate successful long term relationships with candidates and clients matching the right candidate with the right client. We believe technology cannot replace the real personal relationships we cultivate. We reject the notion that technology alone is the answer to staffing which is why we our successful partnerships rely on collaboration NOT automation. ICS has been providing flexible staffing solutions for over 20 years in Information Technology, Compliance, Accounting / Finance and Corporate Support. Our staffing solutions include Contract, Temp to Perm and Permanent Placement.

ICS is an Equal Opportunity Employer.

*W2 employees of ICS are offered comprehensive benefits including health, dental and vision.

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