Chief Compliance Officer

Bull Market Securities; Miami (FL); Hybrid; USD 180,000 - 280,000; Full time

Benefits offered by this job

Hybrid work model

On-site Tue-Thu in Miami

Competitive compensation

Job summary

Bull Market Securities, based in Miami, seeks an experienced Chief Compliance Officer to lead the regulatory and AML compliance program for its broker-dealer and affiliated RIA. The CCO will oversee WSP updates, risk assessments, and examinations across FINRA, SEC, SIPC, and AML obligations.

The role requires 8+ years in FINRA-regulated compliance, senior leadership, and FINRA Series 7 and 24 licenses; Spanish language skills are a plus. Hybrid in Miami.

Qualifications

• 8+ years in FINRA-regulated compliance roles.
• 3+ years in senior compliance leadership.
• Experience supporting both broker-dealer and RIA compliance.

Responsibilities

• Lead regulatory and AML compliance program for broker-dealer and RIA.
• Manage FINRA/SEC examinations, responses, and remediation.
• Oversee KYC/CIP, screening, and transaction monitoring processes.

Skills

Spanish

Regulatory compliance

AML/BSA expertise

C-suite communication

Education

FINRA Series 7

FINRA Series 24

CAMs/CRCP

Tools

Catalyst AML system

Job description

Bull Market Securities is seeking an experienced Chief Compliance Officer (CCO) to lead the regulatory and AML compliance program for our Miami-based broker-dealer and its affiliated registered investment adviser, Bull Market Investment Management. As a FINRA/SIPC-registered broker-dealer (CRD# 282480) serving high-net-worth and institutional clients across Latin America, our business spans retail and wealth management as well as institutional Emerging Markets Fixed Income sales and trading. The CCO reports directly to the CEO and is responsible for the firm's full compliance and AML program across both the broker-dealer and the affiliated RIA.

• Serve as the firm's designated Chief Compliance Officer and BSA/AML Compliance Officer under FINRA, SEC, and Bank Secrecy Act requirements, covering both the broker-dealer and the affiliated RIA (Bull Market Investment Management).
• Maintain, update, and enforce the firm's Written Supervisory Procedures (WSP), AML Program, and RIA Compliance Program (Rule 206(4)-7) in line with applicable rules and the firm's business activities across retail/wealth management and institutional EM fixed income.
• Lead supervisory, surveillance, and review processes across trading, sales, customer onboarding, communications with the public, and registered representative and investment adviser representative activities.
• Manage all regulatory examinations, audits, and inquiries from FINRA, SEC, SIPC, and other authorities, including responses, deficiency letters, and remediation plans.
• Oversee KYC/CIP, EDD, OFAC sanctions screening, and transaction monitoring functions, including the firm's Catalyst (Finwebtech) AML system.
• Manage correspondent banking and counterparty due diligence processes, including responses to clearing firms, structured products distributors, and other financial institution counterparties.
• Conduct annual risk assessments, AML independent testing coordination, and FINRA Rule 3120/3130 annual compliance review and CEO certification, as well as the RIA's annual compliance review under Rule 206(4)-7.
• Review and approve new accounts, new products, marketing materials, research, and outbound client communications for regulatory compliance, including SEC Marketing Rule (Rule 206(4)-1) review for the RIA.
• Supervise FINRA and IARD registration filings (Forms U4/U5, Form BD amendments, Form ADV), continuing education, outside business activities, personal trading, and gifts and entertainment.
• Coordinate with the firm's clearing partners (RQD Clearing, Velocity Clearing, StoneX) and FinOp on regulatory and operational compliance matters.
• Partner with the CEO, Head of Sales & Trading, and Operations on cross-border transactions and supervisory issues involving LatAm jurisdictions.
• Provide compliance training to employees, registered representatives, and investment adviser representatives.
• Oversee compliance staff and external consultants supporting the program.
• 8+ years of compliance experience within a FINRA-registered broker-dealer, with at least 3 years in a senior compliance leadership role.
• Experience supporting both retail/wealth management and institutional fixed income businesses; experience covering an affiliated RIA strongly preferred.
• FINRA Licenses Series 7 and Series 24 (required); Series 4 and Series 63/65 or Series 66 preferred.
• Demonstrated experience as designated CCO and/or BSA/AML Officer at a US broker-dealer.
• Deep knowledge of FINRA Rules, SEC rules (including Rules 15c3-1, 15c3-3, 17a-3, 17a-4, and Reg BI), the Investment Advisers Act of 1940, BSA/AML, OFAC, and FCPA.
• Experience with fixed income markets — particularly Emerging Markets corporate and sovereign debt — and with structured products distribution.
• Experience managing correspondent banking relationships and counterparty due diligence processes.
• Track record managing FINRA and SEC examinations.
• Familiarity with cross-border regulatory considerations involving Latin American jurisdictions.
• Fluent in Spanish (strongly preferred).
• Strong written and verbal communication skills in English; ability to present complex regulatory matters to senior management.
• Industry certifications such as CAMS, CRCP, or equivalent a plus.

Bull Market Securities offers a competitive compensation package commensurate with experience, including base salary, performance-based bonus, and benefits.

Hybrid.On-site presence required Tuesday - Wednesday -Thursday (Miami, Florida).