Chief Compliance Officer – Broker Dealer recruitment
The Chief Compliance Officer (CCO) will be responsible for the following:
* Develop and maintain supervisory procedures.
* Monitor new regulatory mandates, rules, and requirements
* Main point of contact with regulators, and auditors.
* Act as point of contact for the Investment Advisory business.
* Serve as the Anti-Money Laundering (AML) Officer.
* Develop procedures to ensure compliance with all continuing education requirements for firm and individuals.
* Draft a compliance plan and perform an annual compliance risk assessment.
* Review employees brokerage statements, e-mail, and IM Messages.
The Chief Compliance Officer (CCO) will have met the following requirements:
* All matters concerning compliance with NASD and SEC trading rules for trading desks
* Review new account opening documents AML, CIP, KYC and OFAC checks
* Oversee the surveillance of the employee Email's and Instant Messages
* Oversee the trading and market making regulations (OATS, TRACE reporting)
* Annual audit of customer account files and procedures
* 10-15 years experience in a Compliance function of a Broker Dealer firm
* Bachelors is preferred.
* Series 7, 24 and 63