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Job ID Number: 1257440567
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Director of Compliance/Chief Compliance Officer |
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| Job Title: |
Chief Compliance Officer |
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| State/Location: |
Florida |
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| Recruiter Name: |
Confidential Firm |
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| Recruiter Email: |
resumes@jobagi.com |
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| Description: |
National financial services firm currently seeking qualified individual to join our Home Office. The Chief Compliance Officer will provide oversight of the firm’s compliance with applicable industry rules and regulations which govern broker/dealers and investment advisors. Specifically, the Chief Compliance Officer is charged with the responsibility for implementing the firm’s compliance/supervisory program.
The ideal candidate must have a strong grasp of current industry rules and, in addition, should be familiar with the current and changing regulatory landscape. A strong business acumen is important for success; along with excellent communication skills and management skills. Experience working with senior level executives is also necessary.
Responsibilities:
• Oversee the RIA and Broker/Dealer’s compliance program
• Review, amend and implement firm’s policies and procedures
• Oversee a program to test for firm’s compliance with industry rules and written policies and procedures
• Identify and advise on regulatory risks to the firm
• Manage SEC, FINRA and other regulatory examinations
• Develop and implement compliance education and training programs
• Interact effectively with senior management as well as supervisors of all other departments
• Stay in touch with the regulatory landscape of the industry. This includes changes in current regulations as well as staying ahead of proposed new regulations
Requirements:
• Minimum of 5 years experience in senior level compliance roles for registered investment advisors, broker/dealers and insurance agencies
• Bachelor’s Degree required; IACCP and/or CRCP designations preferred
• Proven success in compliance and risk management
To apply please submit your resume to resumes@jobagi.com. When sending your resume please include a job reference of "CCO" so we may identify that you are applying for that position, as we are advertising for more than one position at this time
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