FINRA Licensed Chief Compliance Officer

Job Summary

A company is looking for a Chief Compliance Officer who will lead the Compliance team and oversee compliance and regulatory functions.

Key Responsibilities

• Serve as the firm's FINRA-designated CCO, ensuring adherence to SEC and FINRA regulations
• Oversee the firm's Anti-Money Laundering program and conduct compliance reviews and risk assessments
• Lead compliance training programs and maintain the firm's Written Supervisory Procedures

Required Qualifications

• 10+ years of experience in broker-dealer compliance, preferably in capital raising for private funds
• Current FINRA Series 24 (Principal) license required
• In-depth knowledge of SEC, FINRA, and regulatory requirements for limited-purpose broker-dealers
• Experience managing FINRA/SEC examinations and regulatory filings
• Bachelor's degree required; JD, MBA, or equivalent experience preferred