Interim Chief Compliance/AML Officer

Madison-Davis, LLC; United States; On-site; USD 90,000 - 150,000; Full time

Job summary

An established industry player is seeking a Chief Compliance Officer (CCO) & AML Deputy to lead compliance efforts within a FINRA-registered broker-dealer. This pivotal role involves maintaining compliance policies, overseeing regulatory audits, and ensuring that all communications meet legal standards. The ideal candidate will collaborate with various teams to facilitate compliant product rollouts and monitor regulatory changes, advising leadership on their implications. If you are passionate about compliance and want to make a significant impact in the financial sector, this opportunity is for you.

Qualifications

• Expertise in compliance policies and procedures for financial institutions.
• Strong understanding of AML regulations and FINRA/SEC requirements.

Responsibilities

• Oversee compliance policies and regulatory audits for a broker-dealer.
• Collaborate with teams to ensure compliant rollout of features.

Skills

Compliance Policies

Regulatory Audits

AML Regulations

Communication Skills

Education

Juris Doctor (JD)

Bachelor's Degree

Job description

Job Title: Chief Compliance Officer (CCO) & AML Deputy

Serve as the designated CCO and AML Deputy for a FINRA-registered broker-dealer. Responsibilities include maintaining and enforcing all compliance policies, procedures, and supervisory structures; overseeing regulatory audits, exams, and communication with FINRA and SEC; collaborating with product, engineering, and marketing teams to ensure compliant rollout of features and communications; reviewing and approving advertising, disclosures, and user-facing materials; and monitoring regulatory changes to advise leadership on implications.

Seniority Level

• Director

Employment Type

• Contract

Job Function

• Legal