Chief Compliance Officer (FINRA Licensed)

A company is looking for a Chief Regulatory Officer.

Key Responsibilities

Drive compliance in support of business strategies and execute a comprehensive compliance strategy

Develop and lead a high-performing compliance team, fostering a culture of innovation and collaboration

Manage regulatory interactions and compliance matters, ensuring adherence to applicable laws and regulations

Required Qualifications

15+ years of compliance experience with an SEC-registered, FINRA-member broker-dealer

At least a Bachelor's degree; a law degree is a plus

FINRA Licenses : Series 7, Series 24, and Series 63 are required

Experience with cross-border compliance and regulatory frameworks is preferred

Experience in capital markets and familiarity with software development lifecycles is a plus