Global Chief Compliance Officer

3 weeks ago

Chicago, United States Larson Maddox Full time

We are seeking a seasoned Global Compliance Officer with over 10 years of demonstrated expertise in the financial services industry, specializing in Futures Commission Merchants (FCMs) and Broker-dealers. The ideal candidate will possess comprehensive knowledge and hands-on experience in navigating global regulatory landscapes. This role demands a strategic leader capable of developing and executing robust compliance frameworks to ensure adherence to regulatory requirements across various jurisdictions.


Responsibilities:

  • Provide strategic leadership in navigating and interpreting global regulatory requirements, ensuring alignment with business objectives and industry best practices.
  • Develop and implement comprehensive compliance strategies, policies, and procedures to mitigate regulatory risks and promote a culture of compliance across the organization.
  • Design, implement, and maintain effective compliance programs tailored to the organization's operations, ensuring robust controls and processes are in place to address regulatory requirements.
  • Implement robust compliance monitoring and testing procedures to assess the effectiveness of controls and identify areas for improvement.
  • Prepare and submit timely and accurate regulatory reports and filings, ensuring compliance with reporting requirements across jurisdictions.
  • Demonstrate a deep understanding of global financial regulations.
  • Stay abreast of emerging regulatory trends and developments, assessing their potential impact on the organization, and providing proactive guidance to senior management.


Qualifications:

  • Extensive knowledge of applicable exchange-traded derivatives-related regulations and broker-dealer regulation as well as various exchange rules and regulations.
  • Significant experience with the CFTC, NFA, SEC and FINRA in the US, Financial Conduct Authority (FCA) in the UK and other relevant global regulators and maintaining good relationships and dialogue with key regulators. Dubai Financial Services Authority experience preferred.
  • A minimum of 15 years’ experience in financial services compliance/law/audit areas.
  • College degree required, graduate degree in legal or financial discipline preferred.
  • Experience with a wide range of financial products preferred, with a primary focus on exchange-traded derivatives and US securities as well as OTC swaps, global equities, and bonds.
  • Excellent communication skills, both written and oral, are required.
  • Strong vision for a global compliance program and ability to think strategically and achieve long-term goals.
  • Aptitude with technology and compliance operations preferred.
  • Strong leadership and relationship management skills are desired, including experience and ability in dealing with senior management as well as inspiring and leading a team spanning multiple jurisdictions and time zones.
  • Collaborative approach to compliance issues is desired, as well as an understanding of the business side and ability to balance compliance and business needs.
  • Experience with regulation in jurisdictions outside the US and work on cross-border matters required.


If you fit the above profile, don't hesitate to apply below

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