State Licensed Chief Compliance Officer

Job Summary

A company is looking for a Chief Compliance Officer, Corporate -Legal.

Key Responsibilities

• Ensure compliance with laws, regulations, policies, and procedures across operating businesses
• Advise senior management on regulatory initiatives and oversee regulatory exams and audits
• Manage a team of compliance professionals and develop department vision and training programs

Required Qualifications

• BS required; advanced degree preferred
• Minimum 15 years of broker-dealer and investment advisor compliance experience
• Expert knowledge of securities, investments, and their regulations
• Must obtain specific Securities Licenses within 6 months of hire
• Certification as a Certified Regulatory Compliance Manager (CRCM) required