Executive Compliance Officer

Compliance Officers monitor transactions, conduct regular audits, train employees on regulatory requirements, and implement policies and procedures to minimize non-compliance risks. Compliance efforts are instrumental in fostering a compliant culture within the organization and ensuring that all employees understand their responsibilities.

Furthermore, Compliance serves as a bridge between the organization and regulatory authorities. The Compliance team is responsible for responding to inquiries, providing necessary documentation, and cooperating with regulatory examinations and investigations. This collaboration is essential in maintaining a healthy and transparent relationship with regulatory bodies.

• Responsibilities:

  • Proactively implement the Annual Compliance Plan in line with the responsibilities outlined below:

    • Provide Compliance Advisory services to business lines.

    • Complete or assist in completing related regulatory inquiries.

    • Complete or assist in completing guidance for management review.

    • Manage business line management relationships.

    • Collaborate to ensure deadlines on the Americas Compliance Calendar are met.

    • Create or assist in developing Policies and Procedures and Written Supervisory Procedures.

    • Provide Compliance Advisory services for Trade Surveillance processes.

    • Provide Compliance Advisory services for Regulatory Reporting processes.

    • Ensure compliance with the company’s regulatory requirements under the SEC, FINRA, NFA, CFTC, and other applicable exchanges and regulatory bodies.

    • Adhere to the operational risk framework for your role, ensuring compliance with all regulatory or company-determined parameters.

    • Serve as a role model for the highest standards of integrity and conduct, reflecting company values.

    • Comply with the organization’s Code of Conduct at all times.

    • Stay informed of and adhere to internal policies related to your role and responsibilities.

    • Report any breaches of policy to Compliance and/or your supervisor as required.

    • Escalate risk events immediately.

    • Provide input to risk management processes as required.

• Skills and Experience

  • At least 10 years of securities advisory experience with a solid understanding of broker-dealer activities and requirements.

  • Strong knowledge of applicable securities laws, rules, and regulations, with the ability to assess their impact on the firm. This includes familiarity with FINRA, SEC, Options Clearing Corp., and other Self-Regulatory Organizations.

  • Proven ability to manage multiple projects in a fast-paced environment.

  • Project confidence and professionalism in interactions with senior business personnel.

  • Capable of making, supporting, and defending complex regulatory and compliance decisions in a high-pressure environment.

  • Comfortable working both independently and collaboratively within a team.

  • Quick learner and self-starter, adept at managing multiple tasks simultaneously with minimal supervision.

  • Experience in a regulated environment, with knowledge of the associated risk and compliance requirements.

  • Bachelor’s Degree.