Chief Compliance Officer

Social Capital Resources; New York (NY); On-site; USD 180,000 - 260,000; Full time

Job summary

Social Capital Resources in New York City seeks a Chief Compliance Officer to lead a full-time program for a FINRA-registered broker-dealer.

The candidate will design, implement, and oversee the compliance framework, advise senior management on regulatory developments, and manage a growing team while coordinating with FINRA and the SEC.

Ideal candidates have 10+ years in U.S. broker-dealer compliance, Series 7 and 24, and a proven track record of regulator engagement.

Qualifications

• Bachelor's degree required with strong regulatory knowledge.
• 10+ years of compliance experience in a U.S. FINRA-registered broker-dealer.
• Series 7 & 24 licenses and regulator engagement experience.

Responsibilities

• Run and manage a compliance program for a FINRA-registered broker-dealer.
• Establish, maintain, and enhance the broker-dealer compliance framework.
• Advise senior management on regulatory developments and risks.
• Manage and build out the compliance team.
• Lead regulatory examinations with FINRA and the SEC.

Skills

FINRA rules knowledge

SEC regulations knowledge

BD supervisory requirements

Leadership experience

Education

Bachelor's degree

Job description

Rapidly growing Financial Services firm based in New York City is seeking a Chief Compliance Officer for a full-time position!

Responsibilities:

• Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.
• Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.
• Responsible and accountable for the design, implementation, administration, and effectiveness of the broker-dealer compliance program
• Advise senior management on regulatory developments, compliance risks, and control enhancements
• Manage an existing team of compliance professionals and continue building out
• Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC
• Build and manage a high-performing compliance team supporting the broker-dealer

Qualifications:

• Bachelor's Degree
• 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.
• Strong knowledge knowledge of FINRA rules, SEC regulations, and broker-dealer supervisory requirements
• Prior experience in a fin-tech based firm is a plus
• Previous management experience is a must
• Must have a Series 7 & 24
• Strong and established experience working directly with the various regulators