Chief Compliance Officer for Self Clearing Broker Dealer Job at AJ Consultancy, New York, NY

R1ZlcGcveHdiY1R6WFRHZE1mZDNiWFY4
  • AJ Consultancy
  • New York, NY

Job Description

Job Description

Job Description

Self-Clearing Broker Dealer seeks experienced Chief Compliance Officer with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer who has worked in the role of CCO at a Self-Clearing Broker Dealer within the last 10 years "All Other Please DO NOT APPLY". Candidate must have or be willing to get a Series 7, 14, and 24. Individual must have experience in various asset classes including but not limited to equities, fixed income and options. Once again only Candidates that have 5 years' experience in the role of Chief Compliance Officer working at a Self-Clearing Broker-Dealer within the last 10 years will be considered, all others please do not apply.

  • 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:

  • Series 7, 14, 24 required (Series 4 optional)
  • Minimum 5 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 and fixed income; 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 in building a good corporate culture and leading by example.

Job Tags

Similar Jobs

Booz Allen Hamilton

University - Data Scientist Intern Job at Booz Allen Hamilton

As a data scientist, youre excited at the prospect of unlocking the secrets held by a data set, and youre fascinated by the possibilities...  .... In an increasingly connected world, massive a Data Scientist, Intern, Scientist, University, Technology, Data Booz Allen Hamilton

Delta Companies

Pediatrics Job at Delta Companies

 ...COMPENSATION AND BENEFITS Pediatrics (PEDS)~ Up to $240,000 in guaranteed salary ~ Qualified site for NHSC and Tribal Health school loan forgiveness -Up to $55,000 every 2 years ~$3,000 annual CME allowance ~ Relocation assistance provided. ~100% of Employee... 

Rumpke of Ohio

CDL Rear Load Driver Job at Rumpke of Ohio

CDL Rear Load Drivers are responsible for servicing customers with the collection and hauling of waste or recycling materials to a disposal...  ...Needed for Position: Ability to read and understand a map. Ability to perform physical requirements of the job (prolonged... 

Tom Schaefer Plumbing Heating and Cooling

HVAC Installer / Residential Service Tech Job at Tom Schaefer Plumbing Heating and Cooling

 ...Experience Benefits Offered Dental, Life, Medical, Vision, IRA and Competitive Pay Employment Type: Full-Time Installer , Residential Service Tech. Job Details: Location: Cleveland (regional) Pay: $22 - $30 / hr - based on experience Hours: 40 hr / with... 

Envista

Regional Sales Representative (Long Island, NY) Job at Envista

 ...As a valuable member of a collaborative and engaged regional sales team, the successful Implant Direct Regional Sales Rep will...  ...influencing skills and account management. Dental industry or medical device experience preferred. Strong verbal and written...