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
Broker/Dealer Operations Director
Broker/Dealer Operations Director. Broker/Dealer Operations Director. Strong experience in Broker Dealer operations and processes. Create and help manage the automated day-to-day processes for new broker dealer (P&L reporting, reconciliations, G/L postings). ...
Sr. Compliance Officer, Asset Management - Alternatives
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust's Asset Management ("NTAM") Compliance team, led by the Head of Compliance for Asse...
Broker/Dealer Operations Director
Broker/Dealer Operations Director. Broker/Dealer Operations Director. Strong experience in Broker Dealer operations and processes. Create and help manage the automated day-to-day processes for new broker dealer (P&L reporting, reconciliations, G/L postings). ...
Commercial Broker Dealer Compliance Advisor - Senior Manager
Center 2 (19050), United States of America, McLean, VirginiaCommercial Broker Dealer Compliance Advisor - Senior ManagerThe Compliance Advisor Senior Manager will report directly to the Commercial Broker Dealer Chief Compliance Officer. The Compliance Advisor Senior Manager will work independently f...
Sr. Director US RM/Commercial LPL-ML/EPL
The primary purpose of this position is to oversee the growth and profitability of the US RM/Commercial LPL-ML/EPL product lines. Forward-facing to key external broker partners and clients. Drive cross-sell opportunities to existing customers and brokers for the US RM Professional Liability platform...
Chief Administrative Officer, Financial Crimes Compliance
Under general supervision, the Chief Administrative Officer (“CAO”) is responsible for ensuring that Northern Trust’s Global AML and Economic Sanctions (“Global AML”) program operates in accordance with corporate initiatives and standards. The CAO role is one of a seasoned multi-disciplinary expert ...
Executive Director and Chief Accounting Officer, DRiV
Executive Director and Chief Accounting Officer, DRiV. The Chief Accounting Officer plays a pivotal role in ensuring financial integrity, compliance, and strategic financial management within the organization. We are seeking a highly skilled, experienced chief accounting officer / segment controller...
Sr. Compliance Officer, Asset Management - Alternatives
The successful candidate will report to the Chief Compliance Officer of 50 South and also the Alpha Strategies Fund, a registered closed-end fund managed by 50 South. This position is part of Northern Trust’s Asset Management (“NTAM”) Compliance team, led by the Head of Compliance for Asset Manageme...
Chief Compliance Officer
Position Overview: As our Chief Compliance Officer, you’ll drive our compliance strategy, ensure regulatory adherence, and lead a team of top-notch professionals for our FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm. With a firm commitment to ...
General Counsel & Chief Compliance Officer
The General Counsel and Chief Compliance Officer (GC/CCO) will guide the legal and compliance strategy for the firm and lead a team that will execute those initiatives daily. Candidates will ideally have 10 years of compliance and legal experience working for a proprietary trading firm, broker-deale...