Chief Compliance Officer — Finance & Risk Leadership

Broward County Public Schools; Fort Lauderdale (FL); Vor Ort; USD 275.000 - 330.000; Vollzeit

Benefits dieser Stelle

Yearly bonus

Benefits from Day 1

Unlimited PTO

Flexible work environment

Trading education materials access

Zusammenfassung

TradeStation is seeking an experienced Chief Compliance Officer to lead regulatory compliance for a self-clearing broker-dealer/FCM. The CCO will design and execute the compliance program, ensure adherence to SEC, CFTC, FINRA, NFA and state rules, and foster a culture of compliance at the highest level.

The ideal candidate will have 15+ years in the field, broker-dealer/FCM experience, and FINRA licenses. The role includes board collaboration, risk oversight, training, and continuous monitoring

Qualifikationen

• 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

Aufgaben

• 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 handling, remediation, retesting, and closing of compliance issues.
• Prepare and sign the annual reports required under applicable rules.
• Process and maintain company registrations.
• Plan and coordinate employee training sessions.
• Participate 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 changes.
• Supervise the Compliance Department's efforts and work closely with AML.
• Work closely with Risk Management, Internal Audit and Legal Departments.
• Oversee, manage and improve technology systems used for all aspects of compliance.

Kenntnisse

Leadership

Regulatory compliance

Risk management

Communication

Team management

Ausbildung

Bachelor's degree

Jobbeschreibung

TradeStation is seeking an experienced Chief Compliance Officer to lead regulatory compliance for a self-clearing broker-dealer/FCM. The CCO will design and execute the compliance program, ensure adherence to SEC, CFTC, FINRA, NFA and state rules, and foster a culture of compliance at the highest level.

The ideal candidate will have 15+ years in the field, broker-dealer/FCM experience, and FINRA licenses. The role includes board collaboration, risk oversight, training, and continuous monitoring