FINRA Licensed Chief Compliance Officer
A company is looking for a Chief Compliance Officer who will lead the Compliance team and oversee compliance and regulatory functions. Key Responsibilities Serve as the firm's FINRA-designated CCO, ensuring adherence to SEC and FINRA regulations Oversee the firm's Anti-Money Laundering program and conduct compliance reviews and risk assessments Lead compliance training programs and maintain the firm's Written Supervisory Procedures Required Qualifications 10+ years of experience in broker-dealer compliance, preferably in capital raising for private funds Current FINRA Series 24 (Principal) license required In-depth knowledge of SEC, FINRA, and regulatory requirements for limited-purpose broker-dealers Experience managing FINRA/SEC examinations and regulatory filings Bachelor's degree required; JD, MBA, or equivalent experience preferred
A company is looking for a Chief Compliance Officer who will lead the Compliance team and oversee compliance and regulatory functions.
Key Responsibilities
Serve as the firm's FINRA-designated CCO, ensuring adherence to SEC and FINRA regulations
Oversee the firm's Anti-Money Laundering program and conduct compliance reviews and risk assessments
Lead compliance training programs and maintain the firm's Written Supervisory Procedures
Required Qualifications
10+ years of experience in broker-dealer compliance, preferably in capital raising for private funds
Current FINRA Series 24 (Principal) license required
In-depth knowledge of SEC, FINRA, and regulatory requirements for limited-purpose broker-dealers
Experience managing FINRA/SEC examinations and regulatory filings
Bachelor's degree required; JD, MBA, or equivalent experience preferred
