Chief Compliance Officer (Hybrid)- Full Time
Location : Glenview, IL, 60025
What you will be doing :
- Lead with Vision : Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
- Stay Ahead of the Curve : Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
- Innovate with Technology : Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
- Engage Proactively : Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
- Navigate Complexities : Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
- Organize with Precision : Ensure timely completion of regulatory filings, audits, and internal reviews.
- Lead Investigations : Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
- Evaluate and Improve : Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.
Experience you will need :
- At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
- Self-directed brokerage experience desired.
- Series 7, 24, and 65 / 66 licenses required.
- A Bachelor's Degree is essential, and CAMS certification is preferred.
- Exceptional organizational, analytical, and problem-solving abilities.
- Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
- A proven ability to multitask and thrive in a fast-paced environment.
- Strong team player with excellent coaching, feedback, and listening skills.
- Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Top Reasons to work with our client :
- Innovative trading platform!
- Supportive team culture!
- Career advancement opportunities!
- Focus on professional growth!
- Competitive salary and benefits!
- Work with industry experts!
- Cutting-edge technology!
- Client-centric approach!
- Dynamic work environment!
- Strong reputation in finance!
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