Chief Compliance Officer recruitment

Sucessful and fast growing Retail Broker Dealer/Investment Adviser is seeking experienced Chief Compliance Officer (CCO).  The candidate should have at least 5 years of investment banking regulatory D experience as well as Series 79 or willing to pass the test within 30 days. 

Additionally, Investment Adviser experience is preferable. 

The Chief Compliance Officer will be responsible for the development, operation, review and enhancement of the Retail Broker Dealer compliance systems, policies, and procedures. 

The candidate should be diplomatic, self-starter, hands-on and ability to accomplish goals and tasks in timely manners.