Niche Broker Dealer seeks CCO
Niche Broker Dealer seeks CCO - EM / FI / Collateral Debt | Greenwich, USA
Salary – 120 – 150k USD + bonus benefits
Location – CT, USA
Description
A leading US Broker-Dealer is looking for a new Chief Compliance Officer to lead both the Legal Compliance function. The role will report directly into the board as well be required to liaise regularly with the Head of Trading and Head of Operations.
The role responsibilities will involve ensuring the groups continued compliance with all current financial regulations as well as briefing and instructing senior management with upcoming regulatory reforms. The role will have a management aspect with all other members reporting into the successful candidates through direct or dotted reporting lines.
With the firm having offices globally and the focus being on Emerging markets candidates will have a global remit, with members of the function placed in regional offices across European, South American and Asian continents and so prior international experience is a huge bonus.
Key Requirements
- Direct Broker-dealer experience
- J.D (Juris Doctor) – fully qualified lawyer
- 5+ years experience within a related compliance function
- Knowledge of Emerging Markets / Collateral Debt / Fixed Income (proven experience is a bonus)
- Series 7 24
- Experience liaising with FINRA / SEC
- Strong managerial ability
Leave a Reply
You must be logged in to post a comment.