Chief Compliance Officer (Hybrid)- Glenview, IL

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Glenview (IL)

Hybrid

USD 80,000 - 150,000

Full time

14 days+

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Benefits offered by this job

Career Advancement Opportunities

Supportive Team Culture

Competitive Salary and Benefits

Focus on Professional Growth

Dynamic Work Environment

Cutting-Edge Technology

Job summary

An established industry player is seeking a Chief Compliance Officer to lead a talented team and ensure adherence to regulatory standards. In this dynamic role, you will inspire excellence while navigating complex regulatory landscapes and implementing innovative compliance technologies. Your expertise will be crucial in managing audits, regulatory filings, and internal reviews, all while fostering a culture of continuous improvement. This position offers a competitive salary, professional growth opportunities, and the chance to work with industry experts in a supportive team environment. If you are passionate about compliance and thrive in fast-paced settings, this is the perfect opportunity for you.

Qualifications

8+ years in compliance with deep knowledge of FINRA and SEC regulations.
Exceptional organizational, analytical, and problem-solving abilities.

Responsibilities

Lead a team of compliance professionals and manage regulatory exams.
Implement compliance technologies to enhance surveillance capabilities.

Skills

Compliance Management

Regulatory Knowledge (FINRA, SEC)

Analytical Skills

Problem-Solving

Communication Skills

Multitasking

Team Leadership

Education

Bachelor's Degree

CAMS Certification

Tools

Compliance Technologies

Job description

Chief Compliance Officer (Hybrid)-Full Time

Location: Glenview, IL, 60025

What you will be doing:

Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.

Experience you will need:

At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
Self-directed brokerage experience desired.
Series 7, 24, and 65/66 licenses required.
A Bachelor's Degree is essential, and CAMS certification is preferred.
Exceptional organizational, analytical, and problem-solving abilities.
Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
A proven ability to multitask and thrive in a fast-paced environment.
Strong team player with excellent coaching, feedback, and listening skills.
Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

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