Chief Compliance Officer

Social Capital Resources; Tampa (FL); On-site; USD 180,000 - 270,000; Full time

Job summary

Social Capital Resources, a rapidly growing financial services firm in Tampa, seeks a Chief Compliance Officer for a full-time position to lead the firm’s U.S. FINRA-registered broker-dealer compliance program. The role requires 10+ years of relevant compliance experience, especially with FINRA and SEC, a Bachelor’s degree, and proven management experience.

Fin-tech exposure is a plus. You will advise senior management, supervise a compliance team, and coordinate regulatory examinations to

Qualifications

• 10+ years of compliance experience in a U.S. FINRA-registered broker-dealer.
• Bachelor's Degree required.
• Experience directly with regulators (FINRA/SEC).
• Previous management experience is a must.
• Fin-tech familiarity is a plus.

Responsibilities

• Run and manage a compliance program for a U.S. FINRA-registered broker-dealer.
• Advise senior management on regulatory developments, compliance risks, and control enhancements.
• Lead regulatory examinations and ongoing engagement with FINRA and the SEC.
• Build and manage a high-performing compliance team.
• Establish, maintain, and enhance the broker-dealer compliance framework.

Skills

Regulatory leadership

Team management

Regulatory compliance

Stakeholder communication

Education

Bachelor's Degree

Job description

Rapidly growing Financial Services firm based in Tampa, Florida 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.
• 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.
• Prior experience in a fin-tech based firm is a plus
• Previous management experience is a must
• Strong and established experience working directly with the various regulators