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Chief Compliance Officer with Series 7, 63 and 24 (FINRA Broker Dealer)

Jersey City, NJ
JOB TITLE: Chief Compliance Officer with Series 7, 63 and 24
**Expectation is that a candidate will work 3X per week onsite in Jersey City.
COMPENSATION: $190,000 - $220,000

  • Our customer, a FINRA member and SEC-registered broker-dealer, is seeking a Chief Compliance Officer (“CCO”).
  • The CCO will be responsible for the implementation of the broker-dealer’s compliance system, including but not limited to overseeing its market access controls, exception reporting program, AML policies, engaging with regulators on exams and inquiries, reviewing and analyzing the firm’s compliance practices to identify risks and develop preventive measures.
  • The CCO will establish and implement compliance strategies that will lead to optimal business results while following both the spirit and letter of all laws and regulatory guidance.
  • The CCO will be based out of our customer’s Jersey City, New Jersey office, currently on a hybrid work from home basis and will report directly to the President of the broker-dealer.

  • Oversee and manage the firm’s compliance program.
  • Work with the President, and other senior colleagues to implement best practices.
  • Perform risk assessments, monitoring and surveillance activities, and engage in project management to support the compliance program and ensure best practices.
  • Act as the primary AML Officer.
  • Review and enhance the firm’s market access program.
  • Review and maintain the firm’s WSPs.
  • Assist with communications with regulatory bodies including preparation of regulatory filings.
  • Lead and manage all regulatory exams, inquiries, and new compliance program initiatives.
  • Work with the operations staff to identify observations of trends and recommendations to optimize data.
  • Execute appropriate testing and analyze key performance indicators to confirm requirements of the business policies and programs are maintained at a level commensurate with regulatory expectations.
  • Prepare complete, accurate documentation of compliance monitoring and surveillance activities.
  • Report findings to the teams and provide timely follow-up on outstanding issues.
  • Perform other duties as required and assigned by manager and upper management.

  • 7+ years’ experience in a compliance role with a broker-dealer with particular knowledge of equity markets, 15c3-5 market access controls, and AML regulations.
  • FINRA Licenses: 7, 63 and 24 Required. (Series 79, 55 helpful but not required)
  • Demonstrate knowledge of U.S. securities laws, particularly the Securities Act of 1933, the Securities Exchange Act of 1934, and other SEC & FINRA regulations

If you are interested in pursuing this opportunity, please respond back and include the following:
  • updated resume
  • required compensation
  • preferred contact information
  • availability

Upon receipt, one of our Recruiting Managers will contact you to schedule a convenient time to discuss the position.

Jason Denmark
Email: jdenmark@intermediagroup.com
LINKEDIN: https://www.linkedin.com/in/jasondenmark/

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