Chief Compliance Officer

Social Capital Resources; New York (NY); On-site; USD 180,000 - 320,000; Full time

Benefits offered by this job

Health insurance

Job summary

Social Capital Resources in New York City seeks a Chief Compliance Officer to lead and mature the firm's US FINRA-registered broker-dealer compliance program.

The role requires deep knowledge of FINRA rules, SEC regulations, and hands-on leadership of a growing team, with frequent interaction with regulators.

Qualifications

• Bachelor's degree.
• 0

Responsibilities

• Run and manage a compliance program for a U.S. FINRA-registered broker-dealer.
• Establish, maintain, and enhance broker-dealer compliance framework in line with SEC and FINRA rules.
• Design, implement, administer, and ensure effectiveness of the broker-dealer compliance program.
• Advise senior management on regulatory developments, compliance risks, and control enhancements.
• Manage and continue building out the compliance team.
• Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC.
• Build and manage a high-performing compliance team supporting the broker-dealer.

Skills

FINRA rules

SEC regulations

Regulatory leadership

Team management

Licensing: Series 7 & 24

Broker-dealer supervision

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