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
...New Castle, DE - 3 days onsite/week Duration: 6 months AML SAR WRITER *SAR writing exp is required and crucial *They... ...manual cases for activity conducted by Citi clients. The Senior Compliance Analyst is responsible for managing a caseload of...
Applied Researcher I Overview: At Capital One, we are creating trustworthy and reliable AI systems, changing banking for good.... ...to banking. We are committed to building world-class applied science and engineering teams and continue our industry leading capabilities...
...site kiosks or delivery. Also serves bowls, side items, and hot food. Job Description: Make sure food is prepared as per... ...product traceability, weight control, HACCP, GMPs, Sanitation and Regulatory Compliance. Facilitate sharing of best practices between...
...Lee Health is seeking a Registered Nurse (RN) Case Management for a nursing job in Fort Myers, Florida. Job Description & Requirements... ...RN About Lee Health Lee Health is one of the largest public health systems in the U.S. and one of the largest not-for-profit...
...working with CompHealth to find a qualified Hospitalist MD in Marion, Indiana, 46952!About The PositionCompHealth exists to make the locums process easier. Not only will we search... ...9672EXPTEMPTop Reasons to Choose a Locum Tenens AssignmentAssume leadership roles or...