We are actively engaged in the search for Chief Compliance Officer (CCO).


The CCO will be responsible for all Compliance matters at an electronic trading platform and broker-dealer.  This individual will also have oversight of staff responsible for the FCA regulated affiliate.  This division is part of a larger global financial firm.


The successful candidate will be a true business partner, ensuring compliance for the firm’s broker-dealer while also providing advice regarding emerging business initiatives and regulations that impact the firm’s customers.


The company seeks a high caliber proactive person to maximize its effectiveness.  The successful candidate will need to be an effective communicator, possess strong influencing skills and be responsible for enhancing the compliance framework and program by introducing approaches to make the role as efficient and effective as possible.


Major Responsibilities / Accountabilities:

  • Maintain overall compliance with relevant regulators while mitigating business and regulatory risk.
  • Manage global compliance staff of two employees
  • Develop, maintain and enforce written supervisory procedures.
  • Engage in testing of controls and monitoring for policy adherence.
  • Serve as primary contact for regulatory exams and inquiries.
  • Manage board governance and board meetings.
  • Develop and implement conduct compliance training programs.
  • Advising the business senior leadership team, general counsel and other senior managers on all relevant matters impacting the Broker Dealer and the other businesses in scope.
  • Assist with broker-dealer governance and board meetings.
  • Proactively identity issues affecting the company through attendance at business, industry and regulatory events


Key Relationships:

  • Develop, maintain and strengthen the relationship between compliance and the business by providing timely and effective advice and strengthening the communication channels to ensure a two way flow of information.
  • Leverage and partner with other teams within the company.
  • Interact with technology to ensure trading systems, books and records, and information security practices remain compliant with firm policies and industry regulation.
  • Effectively manage relevant external stakeholders including vendors, external counsel and consultants.
  • Primary liaison with relevant regulators including the SEC and FINRA.


Essential Skills:

  • Current Series 7 and 24 licenses
  • Minimum seven to ten years of compliance experience with a broker-dealer or securities regulator.
  • Proven working knowledge of FINRA and SEC regulations.
  • Excellent analytical and organizational skills with strong attention to detail.
  • Strong presentation and communication skills.
  • Ability to negotiate and resolve issues with meaningful solutions both internally and externally.
  • Ability to influence decision making and practical implementation of regulatory strategies and practices.
  • Ability to interact with individuals from all levels of the business and relevant external stakeholders.
  • Excellent project management skills including successful leadership of projects from their inception through to completion.
  • Accomplished at working across borders in a culturally diverse organization.


Desired Skills:

  • Knowledge of options, commodities and other non-equities exchange traded products and/or the drive to expand product knowledge.
  • Knowledge of broker-dealer financial regulations.
  • Knowledge of global securities laws
  • JD degree


Please email resumes to Jack Kelly at Jack@ComplianceSearch.com.

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