Chief Compliance Officer - Regulatory Strategy & Risk Leader

Advisor Group; New York (NY); Sur place; USD 180 000 - 220 000; Plein temps

Avantages offerts par ce poste

Health insurance

Vision (health) insurance

Dental insurance

401k

Paid time away

Volunteer days

Résumé du poste

Ladenburg Thalmann & Co. Inc. is seeking a Chief Compliance Officer in New York to establish and maintain policies, procedures, and controls for regulatory compliance, including SEC, FINRA, and MSRB requirements.

The CCO will own WSPs and related documentation, oversee training, and advise on product, advertising, and conduct matters. The candidate will work with leadership and control functions to implement a robust compliance framework and serve as the regulatory contact for agencies such as

Qualifications

• Bachelor’s degree preferred; high school diploma or equivalent in combination with significant practical experience considered in lieu of degree.
• 15+ years of financial industry experience, including compliance/risk management, legal and/or leadership/managerial experience.
• Strong Investment Banking, Institutional Sales, Equity Research compliance leadership experience, including supervision, registered representative conduct, customer communications/advertising, and branch/field supervision models.

Responsabilités

• Developing and maintaining a robust compliance program focused on laws, regulations, and guidance related to business activities.
• Identifying and mitigating compliance risks and maintaining strong regulatory relationships.
• Developing internal controls to promote an effective compliance environment and conducting risk assessments.
• Partnering with business units to remediate findings identified in examinations and audits.
• Establishing standards and procedures to mitigate compliance risks and ensure enterprise-wide adherence.
• Continuing to improve the compliance function and oversight activities, reporting to leadership as needed.
• Keep pace with regulatory requirements, anticipate problems, and lead changes effectively.
• Other duties as assigned.

Connaissances

Compliance leadership experience

Financial industry experience

Regulatory affairs

Communication skills

Formation

Bachelor’s degree preferred

High school diploma or equivalent required

Outils

FINRA Gateway

Description du poste

Ladenburg Thalmann & Co. Inc. is seeking a Chief Compliance Officer in New York to establish and maintain policies, procedures, and controls for regulatory compliance, including SEC, FINRA, and MSRB requirements.

The CCO will own WSPs and related documentation, oversee training, and advise on product, advertising, and conduct matters. The candidate will work with leadership and control functions to implement a robust compliance framework and serve as the regulatory contact for agencies such as