Chief Compliance Officer - Institutional Broker

Our client company is a minority-owned financial services firm on the East Shore of NJ that provides a full suite of institutional brokerage services to a diverse client base including corporations, financial institutions, hedge funds, endowments, and public pensions.

In this 1099 position, the CCO plays an integral role in maintaining the organization’s adherence to regulatory standards and internal policies while staying abreast of all regulatory developments and requirements.

The CCO will manage examinations and communications with regulatory entities, handle regulatory filings, manage customer complaints, and perform ongoing compliance surveillance functions.

Initially, you will work closely with the CEO to develop the role and compliance structure within the company.

Responsibilities :

• Build out the current administration of companywide compliance program
• Responsible for preparing, reviewing, and submitting regulatory filings in adherence to applicable laws and regulations
• Collaborate with internal teams to gather and verify necessary documentation, and maintain comprehensive records of all filings and communications related to regulatory compliance
• Oversee the day-to-day management of surveillance system of advisory and broker-dealer activities to ensure compliance with policies and procedures
• Develop and maintain best-in-class compliance program, policies, and practices
• Spearhead audits and examinations to assess and ensure adherence to regulatory requirement and internal policies

Qualifications :

• NY / NJ MSDC, NJ MBE, and SBE Certified
• Bachelor’s Degree
• 3-5+ years in regulatory compliance on the institutional side, NO RETAIL with this company. You can have that experience in your background, but the bulk of your work should be in institutional and capital markets.
• Experience with Institutional Markets, Trade Equities, Pre-IPO, Securities and Derivatives Regulation, Capital Markets, Compliance and Enforcement, Municipal Bond Origination, Distribution, Sales and Trading
• Strong ethical standards and a commitment to maintaining confidentiality.
• Ability to work independently as well as in a collaborative team environment.
• Demonstrated ability to build good working relationships
• Experience in creating and implementing compliance policies and procedures.

For consideration, please email your resume to bethany.delahuntgogpac and call / text her at 203-548-9232.

All qualified applicants will receive consideration without regard to race, age, color, sex (including pregnancy), religion, national origin, disability, sexual orientation, gender identity, marital status, military status, genetic information, or any other status protected by applicable laws or regulations.

GPAC (Growing People and Companies) is an award-winning search firm specializing in placing quality professionals within multiple industries across the United States since 1990.

We are extremely competitive, client-focused and realize that our value is in our ability to deliver the right solutions at the right time.