Broker dealer located in Chicago looking to bring on board a Commercial Broker Dealer Chief Compliance Officer Sr. Director to join their team.
This role is currently in a hybrid schedule (3 days in office / week) and is managing a team of 10+.
Responsibilities :
- Promoting a culture of compliance and managed risk taking
- Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside brokerage accounts, outside business activities, OSJ / branch inspections, firm element continuing education, electronic communications surveillance, information barriers, restricted / watch lists, institutional research, investment banking, and institutional sales
- Acting as the primary point of contact for FINRA, SEC, and state securities regulators and related exams
- Managing CBD Written Supervisory Procedures to ensure they accurately reflect actual practice and address regulatory requirements and standards of conduct
- Advising and supporting Principals on their business decisions, supervision of persons or functions, and compliance with applicable rules
- Providing effective challenge and guidance on compliance risks and supporting senior management through various interactions including, but not limited to formal committee meetings and enterprise change management processes (e.
g., new products and services)
- Conducting regulatory mandated exams of the offices and functions of the CBDs
- Administering the customer complaint process
- Enforcing information barriers including chaperoning over the wall conversations
- Overseeing securities licensing and registrations including Firm requirements.
- Overseeing the review and approval of marketing materials and administering annual compliance attestations
- Advising on disposition of outside business activities / private securities transactions in coordination with the enterprise Ethics & Investigation team
- Advising on the design of second line compliance monitoring and testing
- Administering and tracking of Regulatory and Firm Element training requirements
- Preparing the Supervision and Controls Report & Certification per FINRA Rules 3120 / 3130
- Flexibility to travel to various locations as necessary
Commercial Broker Dealer Chief Compliance Officer – Sr. Director
Broker dealer located in Chicago looking to bring on board a “Commercial Broker Dealer Chief Compliance Officer – Sr. Providing subject matter expertise and guidance on compliance with all applicable SEC and FINRA rules and regulations, including but not limited to anti-money laundering, outside bro...
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