Chief Compliance Officer- Broker Dealer

Responsibilities

Develop and implement an effective legal compliance program

Create sound internal controls and monitor adherence to them

Draft and revise company policies

Proactively audit processes, practices and documents to identify weaknesses

Evaluate business activities (e.g. investments) to assess compliance risk

Collaborate with external auditors and HR when needed

Set plans to manage a crisis or compliance violation

Educate and train employees on regulations and industry practices

Address employee concerns or questions on legal compliance

Keep abreast of internal standards and business goals

Qualifications

Proven 7 years experience as a Compliance Officer or Compliance Manager

Series 65 or 66

FINRA 7 and 24 is a must

Familiarity with industry practices and professional standards

BSc/BA in law, finance, business administration or a related field