Director, Senior Compliance Officer

Chardan Capital Markets LLC; New York; On-site; USD 200,000 - 250,000; Full time

Job summary

Chardan is seeking an experienced Director, Senior Compliance Officer to lead its broker-dealer and investment adviser compliance programs. This role partners with the Chief Compliance Officer to provide regulatory guidance across Investment Banking, Capital Markets, Research, Sales & Trading and other initiatives, ensuring lawful and ethical operations.

The candidate will oversee supervision procedures, training, examinations, and surveillance, while advising senior management on new laws and

Qualifications

• Bachelor's degree in a related field with fluent knowledge of US financial regulation framework, risk management and industry principles.
• Series 7, 79, 63 and 24 certifications. Series 14 a plus.
• 10+ years of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm.
• Experience supporting investment banking, capital markets, sales and trading, equity research, retail brokerage, and/or wealth management activities.
• Highly organized self-starter with excellent judgment and strong attention to detail.
• Strong communicator with ability to influence and challenge across all levels of the organization.
• Proven ability to operate independently, exercise sound judgment in a fast-paced regulatory environment and successfully lead cross-functional compliance initiatives and strategic projects.
• Demonstrated experience advising senior business leaders on complex regulatory and compliance matters.
• Experience developing and implementing Written Supervisory Procedures, compliance testing programs, risk assessments, and surveillance frameworks.
• Excellent presentation and communication skills with the ability to effectively engage with executive leadership, regulators and business stakeholders.
• Microsoft Office proficiency including Outlook, Word, PowerPoint, and Excel.

Responsibilities

• Provide real-time advice to Investment Banking and Capital Markets on Regulation BI, Regulation M, and other applicable regulatory requirements related to public and private offerings such as ATMs, Follow-Ons, RDOs, PIPEs, and other Private Placements.
• Provide Compliance and regulatory guidance advice to all Business Lines, Legal, and Compliance colleagues on information barriers, wall crossing procedures, sensitive information and need to know policies.
• Develop and maintain effective Written Supervisory Procedures relating to any and all firm activities (e.g., Investment Banking, Equity Research, Sales, Information Barriers & MNPI, AI, etc.).
• Collaborate with cross-functional teams to integrate Crypto Currencies and AI governance to establish and maintain policies, guidelines, and documentation for the responsible development and deployment of relevant tools, ensuring compliance with legal, ethical, and regulatory frameworks
• Create and manage effective action plans in response to any identified compliance deficiencies.
• Advise Senior Management on new laws/regulations and their related impact on Chardan’s businesses.
• Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.
• Monitor electronic communications and elevate potential compliance issues.
• Conduct surveillance and monitoring of trading activity to identify potential regulatory concerns, market conduct issues, conflicts of interest, and violations of firm policy.
• Assist in maintaining the Firm’s Watch and Restricted Lists, including seeking and responding to updates from investment banking teams.
• Prepare and file FINRA Gateway filings such as Form BD, Forms U4 and U5, and responses to 8210 Requests.
• Conduct onboarding, ad-hoc, and annual compliance training of equity research, and public and private side staff, as needed.
• Assist the CCO with leading and/or supporting regulatory examinations, audits, and inquiries, including preparation of responses, management of document production, and remediation activities.
• Execute projects as assigned by the Chief Compliance Officer and/or firm leadership

Skills

Strong communicator

Attention to detail

Independent worker

Regulatory experience

Education

Bachelor's degree in a related field

Series 7, 79, 63 and 24 certifications

Series 14 a plus

Tools

Microsoft Office Suite (Outlook, Word, PowerPoint, Excel)

Job description

Chardan is an independent global investment bank specializing in healthcare, technology, cryptocurrencies, SPACs and emerging growth companies. Our range of services include capital raising, merger and acquisition advisory, strategic advisory, equity research, corporate access, and institutional trading. Headquartered in New York City, Chardan is a registered broker-dealer with the U.S. Securities and Exchange Commission and is a member of the following: FINRA, SIPC, and NASDAQ.

Chardan is seeking an experienced compliance professional to serve as a Director, Senior Compliance Officer and strategic partner to the Chief Compliance Officer. This individual will play a key leadership role in the oversight and administration of the Firm's broker-dealer and investment adviser compliance programs, providing regulatory guidance across Investment Banking, Capital Markets, Research, Sales & Trading, and other business initiatives, while helping ensure the Firm operates in a legal, ethical, and compliant manner in support of its business objectives.

Job Responsibilities

• Provide real-time advice to Investment Banking and Capital Markets on Regulation BI, Regulation M, and other applicable regulatory requirements related to public and private offerings such as, ATMs, Follow-Ons, RDOs, PIPEs, and other Private Placements.
• Provide Compliance and regulatory guidance advice to all Business Lines, Legal, and Compliance colleagues on information barriers, wall crossing procedures, sensitive information and need to know policies.
• Develop and maintain effective Written Supervisory Procedures relating to any and all firm activities. (e.g., Investment Banking, Equity Research, Sales, Information Barriers & MNPI, AI, etc.).
• Collaborate with cross-functional teams to integrate Crypto Currencies and AI governance to establish and maintain policies, guidelines, and documentation for the responsible development and deployment of relevant tools, ensuring compliance with legal, ethical, and regulatory frameworks
• Create and manage effective action plans in response to any identified compliance deficiencies.
• Advise Senior Management on new laws/regulations and their related impact on Chardan’s businesses.
• Make recommendations to develop or enhance business unit procedures as they relate to compliance subject matters; and respond to compliance related questions from management and staff.
• Monitor electronic communications and elevate potential compliance issues.
• Conduct surveillance and monitoring of trading activity to identify potential regulatory concerns, market conduct issues, conflicts of interest, and violations of firm policy.
• Assist in maintaining the Firm’s Watch and Restricted Lists, including seeking and responding to updates from investment banking teams.
• Prepare and file FINRA Gateway filings such as Form BD, Forms U4 and U5, and responses to 8210 Requests.
• Conduct onboarding, ad-hoc, and annual compliance training of equity research, and public and private side staff, as needed.
• Assist the CCO with leading and/or supporting regulatory examinations, audits, and inquiries, including preparation of responses, management of document production, and remediation activities.
• Execute projects as assigned by the Chief Compliance Officer and/or firm leadership

Job Qualifications

• Bachelor's degree in a related field with fluent knowledge of US financial regulation framework, risk management and industry principles
• Series 7, 79, 63 and 24 certifications. Series 14 a plus.
• 10+ years of Compliance experience within an Investment Advisory, Broker Dealer, Regulatory, and/or Compliance Consulting firm. Significant experience supporting investment banking, capital markets, sales and trading, equity research, retail brokerage, and/or wealth management activities.
• Highly organized self-starter with excellent judgment and strong attention to detail
• Strong communicator with ability to influence and challenge across all levels of the organization
• Proven ability to operate independently, exercise sound judgment in a fast-paced regulatory environment and successfully lead cross-functional compliance initiatives and strategic projects.
• Demonstrated experience advising senior business leaders on complex regulatory and compliance matters.
• Experience developing and implementing Written Supervisory Procedures, compliance testing programs, risk assessments, and surveillance frameworks.
• Excellent presentation and communication skills with the ability to effectively engage with executive leadership, regulators and business stakeholders.
• Microsoft Office Suite proficient (Outlook, Word, PowerPoint, and Excel)

Chardan is an Equal Opportunity/Affirmative Action employer and does not discriminate on the basis of race, gender, ancestry, color, religion, sex, age, marital status, sexual orientation, gender identity, national origin, medical condition, disability, veteran’s status, or any other basis protected by law. The base salary range for this position is: $200,000 - $250,000. Base pay offered may vary depending on job-related knowledge, skills, experience and, where applicable, certifications and licenses obtained. The total compensation package may also include benefits and the potential for an annual bonus consideration.