Job Description

Job Description

Job Description

Self-Clearing Broker Dealer seeks experienced Senior Compliance Individual with a minimum of 5 years of experience working for a Self-Clearing Broker Dealer who has worked at a Self-Clearing Broker Dealer within the last 5 years as who has significant experience in the supervision of Equities Trading "All Other Please DO NOT APPLY". Candidate must have or be willing to get a Series 7 and 24. Once again only Candidates that have 5 years' experience in the role of Chief Compliance Officer working at a Self-Clearing Broker-Dealer within the last 5 years will be considered, all others please do not apply.

• Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues at a tech-enabled broker-dealer
• Oversee the broker-dealer compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML compliance, training and annual testing
• Manage regulatory interactions, prepare submissions and coordinate responses to inquiries from regulatory authorities
• Monitor compliance issues and changes in regulations, reporting their impact on the organization to stakeholders
• Oversee a team that is responsible for registrations and lead the following: coordination of broker-dealer audits, inspections, reviews, and examinations; monitor complaints; conduct surveillance and transaction monitoring and reporting
• Manage all aspects of the Firm's AML compliance program (as outlined in FINRA Rule 3310)
• Handle additional projects as needed in a rapidly changing regulatory environment

What You'll Need:

• Series 7 and 24 will be required if you do not already have them you will have to attain them in a timely fashion.
• Minimum 5 years of experience working in a senior compliance role (CCO, Director or similar) within a Self-Clearing Broker-Dealer.
• Strong understanding of regulatory and self-regulatory agencies rules and regulations (specifically FINRA and SEC) with best practices in compliance management
• Must have experience in Supervision of Equities and some familiarity with options and fixed income would be a plus; knowledge of relevant regulations as they apply to order routing, execution services, and electronic reporting
• Ability to read and interpret regulations, and implement changes, particularly as it relates to broker-dealer compliance
• Strong project management, organizational and communication skills with the ability to work independently, handle multiple projects and present clear recommendations to business stakeholders
• Experience in building a good corporate culture and leading by example.

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