Chief Compliance Officer & Regulatory Risk Lead

Osaic; New York (NY); On-site; USD 180,000 - 220,000; Full time

Benefits offered by this job

Health insurance

Vision insurance

Dental insurance

401k

Paid time away

Volunteer days

Job summary

The Chief Compliance Officer (CCO) of Ladenburg Thalmann & Co. Inc.

will establish, implement, and maintain policies, procedures, and internal controls to achieve compliance with applicable securities laws and firm standards. The CCO will own the maintenance cycle for compliance-owned written supervisory procedures (WSPs) and related compliance documentation, including periodic reviews and attestations as required.

Qualifications

• Bachelor’s degree or equivalent education.
• 15+ years in financial services with compliance leadership.
• Strong investment banking compliance leadership experience.
• Experience handling SEC and FINRA examination responses.
• Experience with advertising/communications review programs.
• FINRA Series 7 and 24 required; 4 and 53 preferred.

Responsibilities

• Develop and maintain a robust compliance program.
• Identify and mitigate compliance risks.
• Establish internal controls for effective compliance.
• Perform periodic risk assessments of business activities.
• Remediate findings with business units.
• Provide regulatory reporting to leadership.

Skills

Regulatory leadership

SEC FINRA experience

Risk management

Communication skills

Supervisory experience

Education

Bachelor’s degree preferred

High school diploma acceptable with experience

Tools

Microsoft Office

Job description

The Chief Compliance Officer (CCO) of Ladenburg Thalmann & Co. Inc.

will establish, implement, and maintain policies, procedures, and internal controls to achieve compliance with applicable securities laws and firm standards. The CCO will own the maintenance cycle for compliance-owned written supervisory procedures (WSPs) and related compliance documentation, including periodic reviews and attestations as required.