Chief Compliance Officer (CCO)
About the Company
Accomplished broker-dealer
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to join their team. The CCO will be responsible for managing and providing strategic guidance on local, state, and federal governmental requirements for financial institutions, with a focus on KYC, BSA, AML, and OFAC. This role involves acting as the direct supervisor of the company's Regulatory Compliance and Financial Crimes Compliance, identifying and mitigating compliance risks, and ensuring the development and implementation of compliant policies and procedures. The CCO will also be involved in compliance audit testing, managing external audits, and collaborating with various departments to address and resolve compliance issues. Applicants for the CCO position at the company must have a Bachelor’s degree, Series 14 or 24, and at least 3 years of equity compliance experience with an investment bank or U.S. broker-dealer. The role requires in-depth knowledge of SRO and SEC regulations, as well as experience in dealing with examinations, audits, and regulatory inquiries. The ideal candidate will have a strong understanding of equity products and the ability to multitask in a deadline-driven environment. Responsibilities also include overseeing compliance training programs, participating in risk analysis, and providing regular reports to senior management and the Board of Directors on compliance efforts.
Travel Percent
Less than 10%
Functions
...Technical Animator who can design and implement the character animation controller systems that drive player movement and gameplay responsiveness... ...animation experience in video games ~ At least 1 shipped 3D title (sports, action, or simulation preferred)~ Expert...
...Job Description Job Description We currently have a full time opening for a Funeral Services Assistant at Chatman-Harris Funeral Home. This is an opportunity to join the funeral industry in a friendly, family owned environment. The successful candidate will...
...Description Job Description Become a Scheduling Partner with Tribute Home Care and play an important role in setting a new standard in... ...problem-solving skills and is seeking meaningful, mission-driven work, and the opportunity to grow professionally. About Tribute...
...Job Description Position Pay Start $16.7590 Days + $.25 Night Shift Differential (7PM-7:15AM) $.65 per hr. Cross Training... .... 3. Must be able to work overtime if needed. Job Type: Full-time Benefits: ~401(k)~401(k) matching ~ Dental insurance...
Schedule Coordinator - WeekendMilton, DEThe Scheduling Coordinator is responsible for responding in a timely, professional, and... ...activities in a shared database. * Ability to handle stress and work well in a fast-paced environment.* Excellent and professional...