About The Role:
As Chief Compliance Officer, you will lead and manage the broker-dealer compliance team, oversee the development and implementation of compliance programs, monitor regulatory changes and provide guidance to cross-functional teams in a fast-paced environment. You'll be responsible for ensuring compliance with FINRA and SEC rules along with all applicable laws, regulations and policies.
What You'll Do:
- Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer
- Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML compliance, training and annual testing
- Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities
- Monitor compliance issues and changes in regulations, reporting their impact on the organization to stakeholders
- Oversee a team that is responsible for registrations and lead the following: coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance and transaction monitoring and reporting
- Manage all aspects of the Firm's AML compliance program (as outlined in FINRA Rule 3310)
- Handle additional projects as needed in a rapidly changing regulatory environment
What You'll Need:
- Bachelor's degree andSeries 7, 24 required (Series 4 optional)
- Minimum 10 years of experience working in a senior compliance role (CCO or similar) within a financial services firm supporting an electronic broker-dealer
- Strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management
- Familiarity with equities, options, fixed income, mutual funds; knowledge of relevant regulations as they apply to order routing, execution services, and electronic reporting
- Ability to read and interpret regulations, and implement changes, particularly as it relates to broker-dealer compliance
- Strong project management, organizational and communication skills with the ability to work independently, handle multiple projects and present clear recommendations to business stakeholders
- Experience influencing a good corporate culture and ethics
Nice to Have, But Not Required:
- Trading and back office experience
Applicants must be authorized to work for any employer in the U.S. DriveWealth is unable to sponsor or take over sponsorship of an employment Visa at this time.
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