Chief Compliance Officer

Social Capital Resources; Tampa (FL); Sur place; USD 180 000 - 280 000; Plein temps

Résumé du poste

Social Capital Resources in Tampa, FL seeks a Chief Compliance Officer to lead a growing financial services firm on a full-time basis. The role requires overseeing a comprehensive compliance program for a U.S. FINRA-registered broker-dealer and ensuring alignment with SEC and FINRA rules.

You will mentor a compliance team, interact with regulators, and drive risk-based improvements across policies, training, and controls. This is a senior, hands-on leadership role in a dynamic firm.

Qualifications

• 10+ years of compliance experience in a U.S. FINRA-registered broker-dealer.
• Bachelor's Degree required.
• Prior management experience is a must.
• Strong experience working directly with regulators (FINRA/SEC) is essential.

Responsabilités

• Run and manage a compliance program for a U.S. FINRA-registered broker-dealer.
• Establish, maintain, and enhance the firm’s broker-dealer compliance framework with SEC/FINRA rules.
• Advise senior management on regulatory developments, compliance risks, and control enhancements.
• Manage and expand an existing compliance team.
• Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC.
• Build and lead a high-performing compliance team.

Connaissances

Regulatory compliance

Leadership

Stakeholder management

FINRA/SEC knowledge

Formation

Bachelor's Degree

Description du poste

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