One of the nations oldest and largest futures brokerage firms is looking to bring on a Chief Compliance Officer - Broker Dealer. Located in Chicago, a successful candidate in this position will provide compliance oversight of all the activities within the firms Broker Dealer. You will be responsible for consulting with all departments at the firm including sales, operations, and marketing regarding any compliance topics or compliant issues. As the SEC and FINRA liaison for the firm, you will also be managing regulatory audits and exams. If you have extensive experience in the compliance field, want to build out an effective compliance program, and have a passion for the field, please inquire to find out more.
The Chief Compliance Officer will be responsible for:
· Providing oversight on Broker Dealer activities
· Developing a compliance program that protects the company from legal and regulatory risk
· Developing an effective compliance training program, including a training curriculum for new and current employees
· Managing regulatory audits and exams
The Chief Compliance Officer should have the following qualifications:
· 7-10+ years of relevant experience at a broker dealer
· Knowledge of federal securities laws and regulations
· Experience with current SEC and FINRA regulations
· FCM or swap dealer experience preferred but not required
Benefits/Perks:
· Hybrid Work Model
· Generous compensation package
· One of the nations top firms
If you are interested in the Chief Compliance Officer position, please apply now!
