Chief Compliance Officer (CCO)
About the Company
Accomplished broker-dealer
Industry
Financial Services
Type
Privately Held
About the Role
The Company is seeking a Chief Compliance Officer (CCO) to join their team. The CCO will be responsible for managing and providing strategic guidance on local, state, and federal governmental requirements for financial institutions, with a focus on KYC, BSA, AML, and OFAC. This role involves acting as the direct supervisor of the company's Regulatory Compliance and Financial Crimes Compliance, identifying and mitigating compliance risks, and ensuring the development and implementation of compliant policies and procedures. The CCO will also be involved in compliance audit testing, managing external audits, and collaborating with various departments to address and resolve compliance issues.
Applicants for the CCO position at the company must have a Bachelors degree, Series 14 or 24, and at least 3 years of equity compliance experience with an investment bank or U.S. broker-dealer. The role requires in-depth knowledge of SRO and SEC regulations, as well as experience in dealing with examinations, audits, and regulatory inquiries. The ideal candidate will have a strong understanding of equity products and the ability to multitask in a deadline-driven environment. Responsibilities also include overseeing compliance training programs, participating in risk analysis, and providing regular reports to senior management and the Board of Directors on compliance efforts. Travel Percent
Less than 10%
Functions
...correctly Apply shrink wrap to completed orders before shipping Follow warehouse safely protocol Requirements ~ Proficiency and prior experience with electric pallet jacks 5 day work week; Saturday OFF and one weekday 5pm - Finish $17/hr #IND
...and one free bowl during their shift & if they're not working, they receive 30% off! Win-win! WHO YOU ARE The Operational Consultants responsibility is to support & oversee an assigned portfolio of new and existing franchisees/licensees in all aspects of business...
...** Details** Location: Treehouse Hotel (Sunnyvale, CA) Pay Rate: $23.00/HR + Tips... ...years Amazing reasons to work at LAZ Parking!~ Pay Active - on demand access to up to... ...The Spirit of the Position: A LAZ Valet Parking Attendant plays a significant role...
Job Description Growing Boise-based outpatient mental health clinic seeks experienced LCPC, LCSW, LPC, LMSW, PhD, or NP for flexible, part-time to full-time counseling roles. Our services include telehealth and in-person sessions for clients of all ages and backgrounds...
ABOUT GREYSTAR Greystar is a leading, fully integrated global real estate platform offering expertise in property management, investment management, development, and construction services in institutional-quality rental housing. Headquartered in Charleston, South ...