Chief Compliance Officer

TradeStation; Plantation (FL); On-site; USD 275,000 - 330,000; Full time

Benefits offered by this job

Collaborative work environment

Yearly bonus

Benefits from Day 1

Unlimited Paid Time Off

Flexible working environment

Employee trading education access

Job summary

TradeStation is seeking an experienced Chief Compliance Officer in Plantation, FL to lead the compliance program for a retail broker-dealer and futures commission merchant (FCM). This hands-on role ensures SEC, CFTC, FINRA, NFA and state rule compliance and fosters a robust culture of compliance at the highest level.

You will oversee training, registrations, regulatory examinations, and cross-functional collaboration with Risk, Internal Audit and Legal to safeguard the business and drive

Qualifications

• Bachelor's degree in field required.
• 15+ years of industry experience essential.
• Broker-dealer/FCM compliance background required.
• Strong leadership, communication and analytical skills.

Responsibilities

• Administer policies to ensure compliance with securities and futures rules for a self-clearing broker-dealer/FCM.
• Establish procedures for handling, remediation, retesting and closing compliance issues.
• Prepare and sign annual regulatory reports.
• Process and maintain company registrations.
• Plan and coordinate employee training sessions.
• Participate in board and risk committee discussions.
• Respond to regulatory requests and oversee examinations.
• Monitor laws and implement necessary changes.
• Oversee compliance technology systems and AML collaboration.
• Coordinate with Risk, Internal Audit and Legal teams.

Job description

TradeStation is the home of those born to trade. As an online brokerage firm and trading ecosystem, we are focused on delivering the ultimate trading experience for active traders and institutions. We continuously push the boundaries of what’s possible, encourage out-of-the-box thinking, and relentlessly search for like-minded innovators.

At TradeStation, we’re building an AI-First culture: we expect team members to embrace AI daily, whether accelerating development, improving decisions, or streamlining processes. We encourage people to use AI responsibly, creatively, and consistently with our culture of compliance and corporate governance.

Are you ready to make yourself at home?

What We Are Looking For:

We are looking for an experienced Chief Compliance Officer (CCO) for a Retail Broker-Dealer and Futures Commission Merchant (FCM). The CCO will assume primary responsibility for assuring compliance with SEC, CFTC, FINRA, NFA and other regulatory organization and state rules/regulations as well as all other federal statutes and developments. The CCO will evaluate business risk in accordance with policies, goals and objectives established by the organization. The CCO is also accountable for the design and execution of the compliance program for the organization and to assure that a strong culture of compliance is maintained at the highest level.

This opportunity is an ideal role for a candidate who is interested and experienced in building and expanding a retail broker-dealer and/or FCM. Our ideal candidate should have an entrepreneurial spirit, possess strong leadership skills, and take a hands-on approach in his/her everyday dealings within the organization.

What You’ll Be Doing:

• Administer the company’s policies and procedures to ensure reasonable compliance with securities and commodity futures industry rules and regulations for a self-clearing broker-dealer/FCM
• Establish procedures, in consultation with the board of directors or the President, for the handling, management response, remediation, retesting, and closing of compliance issues (breaches, gaps, etc.)
• Prepare and sign the annual reports required under applicable rules
• Process and maintain company registrations
• Plan and coordinate employee training sessions
• High-level participation at board and risk committee meetings
• Respond to regulatory requests and oversee regulatory examinations and investigations
• Track laws and regulations that might affect the organization's policies and implement necessary changes
• Supervise the Compliance Department’s efforts and work closely with AML
• Work closely with Risk Management, Internal Audit and Legal Departments, as appropriate
• Oversee, manage and improve technology systems used for all aspects of compliance

The Skills You Bring:

• Experience with all aspects of trading various asset classes including marketing and communications, account opening, onboarding and funding, execution, clearing, settlement, and reporting
• Ability to understand the technical aspects of an online trading business and the compliance systems which support it
• Ability to supervise a large team of experienced compliance professionals
• Must possess strong communication, organizational and analytical skills

Minimum Qualifications:

• Requires a bachelor's degree in area of specialty and at least 15 years of experience in the field
• Previous broker-dealer and FCM compliance experience is essential
• FINRA Series 7, 3, 14, 24

What We Offer:

• Collaborative work environment
• Yearly bonus
• Comprehensive benefits for you and your family starting Day 1
• Unlimited Paid Time Off
• Flexible working environment
• TradeStation Account employee benefits, as well as full access to trading education materials
• Pay Range (US) $275-330K (Countries outside of the US have differing ranges in accordance with local labor markets)

TradeStation provides equal employment opportunities to current and prospective employees, without regard to race, color, religion, sex, national origin, ancestry, sexual orientation, age, pregnancy, disability, handicap, citizenship, veteran or marital status, or any other legally recognized status entitled to protection under federal, state, or local anti-discrimination laws.