Chief Compliance Officer

Job Description

## Position Overview

We are seeking an experienced and detail-oriented professional to serve as our Chief Compliance Officer and Financial and Operations Principal (FinOp). This dual role is responsible for ensuring regulatory compliance across all business operations and maintaining the financial integrity of our broker-dealer firm. The ideal candidate will have a proven track record of managing complex regulatory environments and fostering a strong culture of compliance.

This is a part-time position with significant growth potential. As Vex Securities continues to expand, this role has the opportunity to transition into a full-time executive leadership position for the right candidate.

## Key Responsibilities

### Compliance Oversight :

• Serve as the firm's Chief Compliance Officer, overseeing all compliance policies, procedures, and programs
• Maintain current knowledge of FINRA, SEC, and state securities regulations
• Conduct regular compliance audits and surveillance of trading activities, communications, and business practices
• Develop and deliver ongoing compliance training to registered representatives and staff
• Manage regulatory examinations and inquiries from FINRA, SEC, and state regulators
• Investigate and resolve customer complaints and regulatory issues
• Prepare and file all required regulatory reports and disclosures

### Financial and Operations Principal Duties :

### Risk Management :

### Technology & ATS Development :

## Required Qualifications

### FINRA Licensing (Required) :

### Preferred Licensing :

### Experience :

## Skills and Competencies

## Travel Requirements

## Compensation

Competitive hourly rate or part-time salary commensurate with experience. Benefits package available for employees. Both contractor and employee arrangements will be considered based on candidate preference and qualifications.

## To Apply

Please submit your resume and a summary of your regulatory experience to :

Note : This position is available immediately. Candidates with active licenses and availability to start within 30 days will be given priority consideration. Both W-2 employee and 1099 contractor arrangements available.