Overview

A blockchain-based international financial services company is seeking a Chief Compliance Officer (CCO) for their New York City main office location.

The CCO will report to the Global General Counsel/CCO and be responsible for overseeing the Broker Dealer and Alternative Trading System (ATS) and their compliance program. The CCO will advise senior leadership on significant risk and compliance issues, maintaining a perspective that is both independent/objective and sensitive to the objectives of the organization.

Responsibilities

  • Keeping up on the latest FINRA and SEC rules and regulations
  • Maintain the firm’s written supervisory procedures
  • Implementing practices that will ensure company meets all current industry regulation standards
  • Leader in all regulatory audits
  • Manage the Firm’s FINRA Gateway filings (i.e. Forms BD, U4s, FOCUS reporting, supervising net capital calculations, etc.)
  • Work to help monitor orders, executions, allocations, best execution, trading errors, and more.
  • Monitor app and website functionality for proper disclosures; work with product managers to make necessary changes in connection with same.
  • Manage employee disclosures of trading activities.
  • Conduct surveillance reviews, interface with securities regulators and examiners, respond to regulatory inquiries for all businesses.
  • Have in-depth knowledge and understanding of private placement of securities and associated offerings
  • Detailed knowledge of the firm’s policies and procedures and how they are applied and monitored
  • Maintain daily, monthly, quarterly and annual compliance log/tasks
  • Monitor all aspects of the firm’s operations in order to identify new or emerging compliance issues
  • Advise management on existing and new regulations as they occur and how they affect the firm and its clients
  • Build deep and trusting relationships with coverage areas and counterparts in other supporting roles (legal, ops etc.)
  • Communicate clearly and effectively

Qualifications

  • Must have the following licenses: Series 7, 24, and 63;
  • Minimum of 4 years’ experience as an acting Chief Compliance Officer or relevant experience working closely with Chief Compliance Officer in financial services industry
  • Substantial knowledge of Reg NMS, Reg SHO and other regulations relevant to automated trading businesses
  • Strong publicly traded securities, options and private placement experience required
  • Prior alternative trading system experience preferred
  • Substantive knowledge and familiarity with registered and unregistered securities
  • Familiarity with JOBS Act initiatives
  • Strong analytical skills required to organize and analyze multiple, complex data
  • Prior management experience
  • A team player, enthusiastic, energetic, pro-active and responsive
  • Proven track record of identifying, solving and preventing compliance issues
  • Demonstrated ability to understand complex regulatory requirements and create effective compliance programs
  • Ability to voice and defend opinions
  • Compensation will be salary and bonus. Full benefits package
  • Bachelor’s Degree

Licenses:

  • Series 24 (Required)
  • Series 14 (Advised)
  • Series 7 License (Required)

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

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