Chief Compliance Officer (CCO)
About the Company
Accomplished broker-dealer
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to join their team. The CCO will be responsible for managing and providing strategic guidance on local, state, and federal governmental requirements for financial institutions, with a focus on KYC, BSA, AML, and OFAC. This role involves acting as the direct supervisor of the company's Regulatory Compliance and Financial Crimes Compliance, identifying and mitigating compliance risks, and ensuring the development and implementation of compliant policies and procedures. The CCO will also be involved in compliance audit testing, managing external audits, and collaborating with various departments to address and resolve compliance issues. Applicants for the CCO position at the company must have a Bachelor’s degree, Series 14 or 24, and at least 3 years of equity compliance experience with an investment bank or U.S. broker-dealer. The role requires in-depth knowledge of SRO and SEC regulations, as well as experience in dealing with examinations, audits, and regulatory inquiries. The ideal candidate will have a strong understanding of equity products and the ability to multitask in a deadline-driven environment. Responsibilities also include overseeing compliance training programs, participating in risk analysis, and providing regular reports to senior management and the Board of Directors on compliance efforts.
Travel Percent
Less than 10%
Functions
Job DescriptionIndustry/ Organization Type: IT/TelecommunicationsPosition Title: Project Engineer (BMS)Working Location: MacphersonWorking Hours: 5 working days (Mon to Fri 8.30AM - 5.30PM)Salary Package: Basic Salary up to $4,500 + AWS + BonusDuration: Permanent...
...behaviors with every customer who walks through our doors and allowing us to provide a premium customer experience. Acknowledge and assist customers; locate merchandise efficiently using various methods; answer questions quickly and accurately Offer style and outfit...
...engineering, maintenance, repair, and repowering solutions, ensuring the seamless operation of our nations wireless and wireline telecom, commercial and utility-scale solar and wind projects, EV charging stations, as well as large-scale power generation, critical power...
...Job Description Job Description Do you desire a career in health & wellness coaching? Do you want to help others transform their health and improve their quality of life? Do you want to work in a team environment that is fun and committed to work/life balance? If...
RFP - Consultant, Strategic Development Plan Posted on June 11, 2020Introduction The New England Foundation for the Arts (NEFA) seeks proposals... ...communities through grants and other opportunities in dance, music, theater, and public art.NEFA values an equitable, diverse,...