A Series B financial services start-up headquartered in NYC is looking for a Chief Compliance Officer to join their growing team. You will deliver and develop training, mentor, oversee and grow a small team, as well as ensure that all functions adhere to appropriate regulatory policies, procedures, and controls. The Chief Compliance Officer shall serve as the leader of compliance organization, providing guidance and support to all teams, partners, and management within the company.
Requirements:
- 8+ years' experience in a compliance role, preferably at an investment advisor, investment bank or broker dealer
- Experience with rules and regulations applicable to broker-dealers and investment advisors
- Active Series 7 & 24 licenses
- Maintain all required books, records, manuals, procedures, and correspondence, and conduct vendor due diligence
- Ability to build and maintain a culture of compliance, ownership, and accountability