Chief Compliance Officer recruitment
JOB DUTIES/RESPONSIBILITIES:
• Maintain and update the Written Supervisory Procedures.
• Review/monitor internal processes for compliance with company’s policies and procedures.
• Oversee compliance of retail brokerage and investment banking business.
• Oversight of written and electronic correspondence.
• Oversee brokers under heightened supervision.
• Research possible compliance violations and recommend corrective action.
• Provide training to employees on regulatory and compliance issues.
• Review advertising and sales literature to ensure compliance with FINRA and SEC.
• Oversee employee personal trading and reporting.
• Oversee the processing of CRD/IARD registration-related items.
• Compile, process, and maintain employee compliance-related files.
• Conduct regulatory and compliance research and guidance.
• Serve as liaison with FINRA, the SEC and other regulators for examinations and inquiries.
• Assist in responding to regulatory inquiries and keep current with regulatory changes.
• Facilitate annual compliance training, meetings and continuing education.
• Conduct branch office audits.
MINIMUM REQUIREMENTS
• 5 years of experience working in Compliance in a financial institution.
• 5 years of experience in Retail Brokerage and Investment Banking.
• Experience working for FINRA or SEC a plus.
• Exceptional oral, written and interpersonal skills.
• Strong presentation skills.
• Sound business judgment with strong analytical and risk assessment skills.
• Strong leadership skills.
• Strong PC skills required: MS Office products including Word, Excel, and Outlook.
• Extensive knowledge of SEC and FINRA regulations.
• Must have FINRA series 7, 24, 63. Legal back-round and other licenses a plus.
Salary/Benefits:
Competitive: $90,000 to $140,000 000 (Dependent Upon Experience) with potential
Performance-based bonus. Benefits include medical, dental, and vision insurance, 401K,
paid vacation, paid holidays, paid personal/sick leave, group term life insurance, disability leave,
funeral leave, and other Benefits.
Hours:
Must be able to begin at market hours, starting 6:30 A.M. Pacific time
Candidates must provide a Cover Letter, Resume and Salary History to be
considered.
[Note: If possible, please place the three requested items (Cover
letter, Resume and Salary History) in the body of your email in
addition to attaching as separate files.]
CANDIDATES SHOULD FAX THEIR RESUME TO (310) 843-9304 OR EMAIL IT TO ResumeFirm@aol.com