Chief Compliance Officer

Charlotte, NC

Summary of Responsibilities

The Chief Compliance Officer is responsible for ensuring compliance with industry rules and regulations (SEC, FINRA), as well as identifying and documenting regulatory risks and assisting the firm in developing policies, procedures and controls.

This position involves planning, supervising and executing day-to-day operational compliance activities. This individual will help maintain a strong compliance framework for a growing team. Additionally, the CCO will work with the operations and business development teams to help expand new business lines, identify regulatory risks and requirements and assist in the overall growth and success of the firm.

The candidate should have experience providing direction and oversight and be able to help guide the team in the assessment of control deficiencies while assisting in developing effective remediation plans. The CCO will also provide direction in the ongoing maintenance of the annual compliance risk assessment.

The individual must be able to provide compliance guidance that balances regulatory requirements, risk mitigation and business objectives.

Essential Duties and Responsibilities

  • Review, execute and update the firm’s Written Supervisory Procedures
  • Review, execute and update the firm’s Anti-Money Laundering Plan
  • Supervision of the firm’s annual compliance meeting and testing
  • Oversight of new and continuous regulatory risks
  • Oversight and review of current and new FINRA and SEC regulatory requirements
  • Performing daily, weekly, monthly, quarterly and annual compliance reviews
  • Lead, manage and respond to regulatory inquiries, regulatory exams and customer complaints
  • Review contracts and agreements with vendors, platform providers, RIA’s etc.
  • Regulatory supervision of new and existing customer accounts domestic and foreign
  • Review and supervise the firm’s adverting polices and regulatory rules and requirements
  • Work directly with the clearing firm to manage and resolve regulatory risks and requirements
  • Review Best Execution reports and Order Routing practices
  • Monitor employee activity
  • Monitor employee and customer correspondence
  • Provide ongoing employee training and new hire registration requirement

*The above statements are intended to describe the general nature and level of work being performed. They are not intended to be construed as an exhaustive list of all responsibilities, duties and skills required of the position.

Essential Qualifications and Registrations

  • Extensive knowledge of SEC and FINRA rules and regulations and how they apply to the firm’s policies and procedures
  • Ability to effectively work collaboratively, cross functionally and with individuals at all levels of the organization;
  • Excellent organizational and project management skills, including managing multiple projects in a dynamic development environment
  • Strong leadership and management skills demonstrating integrity and professionalism
  • Strong computer skills, including Word and Excel
  • Strong communication skills, written and verbal
  • Strong understanding of equities and options trading
  • Series 7 and 24 required.
  • Bachelor’s degree required
  • Minimum of 10 years industry experience
  • Minimum of 5 years compliance and management experience

Salary and Benefits

  • Salary commensurate with experience
  • Health and Dental
  • Vacation /Personal Time Off

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