Location: Austin,TX, USA
Managing Director of Compliance or Chief Compliance Officer
Stonecrest Partners is a rapidly growing financial services firm based in Austin, Texas and San Juan, Puerto Rico. We have additional associates in New York City, New Jersey, Florida and Latin America. Our multiple business lines include Institutional Fixed-Income Sales and Trading, Retail Advisory and Brokerage services, Wealth Management and Financial Planning, tax credit trading, and private investment banking. We are an entrepreneurial company with expertise in complex financial transactions. Stonecrest Partners is the marketing name for Stonecrest Capital Markets, Inc., Stonecrest Advisors, Inc., Stonecrest Partners of Puerto Rico, LLC, Stonecrest Investment Management LLC and affiliates.
Who we're looking for
Stonecrest is seeking a compliance professional with strong experience working in the broker dealer and investment advisor industries to lead our Compliance Department. The role, whether as Managing Director of Compliance or as Chief Compliance Officer (CCO), will report directly to the Chief Executive Officer. The successful candidate will be integrated into an existing compliance team that currently includes five personnel and two consulting relationships. If hired as a Managing Director of Compliance, you will have the opportunity to progress into the CCO role. Candidates should possess extensive knowledge of FINRA and SEC Rules and Regulations, have leadership experience, and preferably hold a legal and/or business education background, with a J.D. being advantageous. To thrive at Stonecrest, you must be able to work effectively in a team environment, be self-motivated, have strong communications skills, and willing to work with a diverse group of individuals and business lines. Collaboration is essential.
Responsibilities
Prerequisites for the role
Benefits
Equal Opportunity Employer
Stonecrest is an equal opportunity employer and strictly prohibits discrimination on the basis of race, color, creed, gender, religion, marital status, veteran status, age, disability, medical condition, pregnancy, sexual orientation, political affiliation, or any other characteristic protected by federal, state, or local laws.