If you hold the position of Chief Compliance Officer (CCO) or Senior Compliance Leader and are aspiring to advance your career, you might find our long-established investment brokerage and Registered Investment Advisory firm, located in the Chicago area, to be the ideal destination. We are currently seeking an enthusiastic individual to assume a leadership role in our Compliance Department for a FINRA registered broker-dealer firm. This opportunity offers excellent prospects for professional growth and advancement.
This position may be based in offices in Glenview, IL, Orlando, and/or Ft. Myers, Florida, with the possibility of a remote work arrangement.
- Direct and oversee a team of experienced compliance professionals, working closely under the guidance of the Firm's general counsel.
- Manage and supervise surveillance activities for both online deep-discount trading and full-service brokerage, as well as fee-based business operations.
- Stay vigilant and inform management about ongoing regulatory concerns, risks, and compliance deadlines.
- Assess and implement state-of-the-art technology solutions for compliance-related surveillance.
- Maintain proactive communication with supervisors, registered representatives, and investment advisory representatives.
- Take charge of regulatory examinations, inquiries, responses, and interactions with federal and state regulators.
- Ensure adherence to the annual regulatory calendar, including deadlines, filings, audits, and internal reviews.
- Handle the Firm's FINRA Gateway filings, such as Form BD, U4s, U5s, state registrations, and FOCUS reporting.
- Collaborate in the review and development of Written Supervisory Procedures and other guidance for registered representatives and personnel.
- Coordinate and oversee branch audit inspections of registered representatives.
- Administer and supervise the Firm's Anti-Money Laundering (AML) Program.
- Enhance the efficiency of the Firm's supervisory system for branch and home offices.
- Conduct risk assessments and internal reviews of the Firm's activities, evaluating the effectiveness of policies and procedures.
- A minimum of 8 years of professional compliance experience, with an extensive understanding of FINRA and SEC regulations.
- Required licenses: Series 7, 24, 65/66.
- A Bachelor's Degree.
- Substantial experience in interacting with SEC, FINRA, and state securities regulators.
- A preference for holding the Certified Anti-Money Laundering Specialist (CAMS) designation.
- Strong attention to detail, organizational skills, and the ability to set priorities.
- Excellent interpersonal skills, sound judgment, and the capability to collaborate effectively with personnel at all organizational levels.
- Exceptional written and verbal communication abilities.
- Proficiency in multitasking and adapting to rapidly changing priorities.
- A team player who excels in coaching, providing feedback, and active listening.
The ideal candidate should possess a comprehensive knowledge of the regulatory landscape for broker-dealers and registered investment advisors, along with a wide-ranging background in investment products within the financial services sector. This Firm provides a dynamic and challenging work environment, offering you the opportunity to play a significant role in its exciting growth initiatives for representatives and advisors across the nation.