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 Bachelor’s 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
...including theFestival of the Arts and theRiverboat Days Our dental services are committed to providing high-quality care to... ...part of our vibrant community. REFERENCE NUMBER:215059ABOUT DELTA PHYSICIAN PLACEMENT Delta Physician Placement (DPP), the permanent...
...Job Description Job Description Job Overview: Were looking to hire a full-time CDL Dump Truck Driver (Class A or B) for an immediate local driving opportunity based out of Adena, OH. Youll be home every day and play a key role in hauling materials like asphalt...
INSULATORJourneyman - Typically 3 years and above documented field experience in chosen craft discipline with ability to read and interpret instructions and document, plan and perform work activities independently.SUMMARYApply, remove, and repair insulation on equipment...
...Diploma Obtained Program of Study Additional Requirements Graduate of JRCERT Accredited or ARRT approved Radiography Program Experience Requirements Minimum Years Required Area of Experience Required/ Preferred and/or No Experience Required...
Job Title Responsibilities: This position assists with engineering activities and performs tasks associated with those activities. The incumbent must demonstrate the potential ability to perform the job's essential functions as outlined in the duties and responsibilities...