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Associate Chief Compliance Officer

4 months ago

Naperville, United States Larson Maddox Full time

Position Overview: We are seeking a detail-oriented and experienced Associate Chief Compliance Officer. This role involves supporting the Chief Compliance Officer in ensuring the firm’s adherence to regulatory requirements and internal policies. The Associate Chief Compliance Officer will assist in managing compliance procedures, regulatory exams, and filings while maintaining effective communication with supervisors, registered representatives, and investment advisory representatives.


Key Responsibilities:

  • Reporting and Surveillance:
  • Report directly to the firm’s Chief Compliance Officer.
  • Assist with the firm’s surveillance procedures for brokerage (including both online deep-discount trading and full service) and fee-based business activities.
  • Communication and Technology:
  • Communicate proactively with supervisors, registered representatives, and investment advisory representatives.
  • Thorough knowledge of the firm’s various technology vendors and the ability to evaluate and implement new technology solutions for compliance-related surveillance.
  • Regulatory Management:
  • Assist with managing regulatory exams, inquiries, responses, and investigations with federal and state regulators and SROs.
  • Handle tasks on the firm’s compliance calendar as applicable to regulatory deadlines, filings, audits, internal reviews, etc.
  • Regulatory Filings:
  • Assist with the firm’s FINRA Gateway filings.
  • Manage the firm’s Form BD, U4s, U5s, and state registrations.
  • Supervisory Procedures:
  • In-depth knowledge of the firm’s Written Supervisory Procedures (WSPs) and assist in the updates thereto.
  • Provide guidance on WSPs as necessary to the firm’s registered representatives and personnel.
  • Branch Audit Inspections:
  • Assist with the firm’s branch audit inspections of its registered representatives.
  • Program Oversight:
  • Learn and help to oversee and administer the firm’s Anti-Money Laundering (AML), Cybersecurity, and Disaster Recovery Programs.


Qualifications:

  • Minimum of 3 years professional compliance experience, with extensive knowledge of FINRA, SEC, NFA, and CFTC rules and regulations coming from a Registered Broker-Dealer
  • Series 7, 24 required. Series 63/65/66 preferred.
  • Bachelor's degree.
  • Experience dealing with SEC, FINRA, NFA, and state securities regulators.
  • Detail-oriented, accurate, and organized, with the ability to set priorities to meet time-sensitive deadlines.
  • Excellent interpersonal skills, sound judgment, and ability to work effectively with staff at all levels.
  • Solid written and verbal communication skills.
  • Ability to multi-task and adapt to quick-shifting priorities.
  • Team player with strong coaching, feedback, and listening skills.
  • Broad range of knowledge of investment products in the financial services industry.