West Coast & Rocky Mountain, Middle Market Broker/Dealer
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We have been retained to identify an individual to be our client’s Chief Compliance Officer. Our client is a leading, middle-market brokerage firm that emphasizes their debt, equity and investment banking services to a wide array of industry clients utilizing a strong distribution network through the institutional and private client groups. This firm is known for their exceptional leadership, resource rich platform, excellent culture and commitment to growth.
Opportunity: With a high level of autonomy, the ideal CCO candidate will design, implement and supervise a company-wide, comprehensive compliance and oversight program designed to ensure compliance with all regulatory requirements. Candidate will advise senior management to help guide the enforcement of rules and regulations within the current regulatory environment. Candidate will oversee and participate in the administration of the Firms’ regulatory and Firm element continuing education process, as well as, direct the delivery of Annual Compliance Meeting. Candidate will be responsible for compliance regulatory reporting, recruiting and managing personnel, developing and implementing short and long-range department objectives, maintaining department budget and controlling expenses, and administering salaries.
Qualifications: Our client is experiencing significant companywide growth, so, of course, the compliance group is growing as well. Therefore, strong leadership within compliance is extremely important. Candidate must demonstrate a proven track record of effectively communicating with regulators, as well as, the ability to lead a team and manage personnel, located in multiple locations. Successful completion of Series 7, Series 9/10 or Series 24, Series 63 and 65, or combined Series 66 license, required. Bachelor’s Degree in Finance, Accounting or Business-related field; or equivalent securities industry experience. Ten or more years of financial services industry experience required. Candidate must possess experience in developing, implementing and enforcing a compliance program to ensure compliance with SEC, FINRA, MSRB, state laws and regulations.