Director, Senior Compliance Officer

Chardan Capital Markets, LLC.; New York (NY); Sur place; USD 200 000 - 250 000; Plein temps

Résumé du poste

Chardan Capital Markets, LLC. seeks an experienced Compliance Director/Senior Compliance Officer to partner with the Chief Compliance Officer and oversee broker-dealer and investment adviser compliance programs.

The role spans Investment Banking, Capital Markets, Research, Sales & Trading, and technology governance for crypto and AI. You will guide regulatory strategy, develop supervisory procedures, and lead examinations while advising senior management on legal changes and risk controls.

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 across investment advisory, broker-dealer, regulatory or consulting environments.
• Strong organizational skills and attention to detail; capable of leading cross-functional initiatives.
• Proven ability to advise senior leaders and implement supervisory procedures and surveillance frameworks.

Responsabilités

• Provide real-time regulatory guidance on BI, M&A, and private placements to business lines.
• Develop and maintain Written Supervisory Procedures for all firm activities.
• Collaborate on crypto and AI governance policies and documentation.
• Lead regulatory examinations, audits, and remediation activities with senior management.
• Monitor communications, conduct surveillance of trading activity, and manage risk assessments.
• Prepare FINRA filings (Form BD, U4/U5) and keep watchlists updated.
• Deliver onboarding and annual compliance training across equity research and trading teams.
• Advise on new laws/regulations and improve unit procedures accordingly.

Connaissances

Regulatory expertise

Stakeholder influence

Communication skills

Cross-functional leadership

Attention to detail

Regulatory strategy

Adaptability

Project management

Formation

Bachelor's degree

Series 7/79/63/24

Outils

MS Office

Excel

PowerPoint

Description du poste

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 escape 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 teamPrepare 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.