Chief Compliance Officer

2 months ago

Washington, United States Compass Point Research & Trading, LLC Full time

Compass Point is a premier independent, full-service investment firm providing a wide range of investment banking, research, and sales and trading services to our clients. We serve as an expert advisor and resource to corporate clients and institutional asset managers including mutual funds, hedge funds, and family offices.


We are currently seeking a highly motivated and experienced Chief Compliance Officer to join our team. The successful candidate will be responsible for leading all components of the compliance program of the broker-dealer. Responsibilities include interfacing with regulatory agencies and general compliance with applicable rules and regulations. The successful candidate will have a thorough understanding of regulatory requirements impacting trading, research and investment banking.


Responsibilities


  • Identify, implement, and maintain policy and procedures to ensure compliance programs are effective and compliant with regulations
  • Oversee broker-dealer compliance programs including WSP’s, training programs, AML compliance, licensing, annual testing and continuing education programs
  • Serve as the primary contact for regulatory inquiries and exams
  • Maintain Firm’s Watch and Restricted Lists
  • Review of equity and policy research reports for compliance
  • Provide advice and act as Firm’s subject matter expert on complex regulatory issues and compliance rules and procedures for Investment Banking, Research and Trading
  • Maintain a thorough understanding of securities rules and regulations through ongoing educational training
  • Work closely across all departments ensuring compliance with internal policies


Qualifications


  • Bachelor’s degree or higher education is required
  • Series 7 and 24 are required
  • A minimum of 10+ years working in a compliance role supporting a broker-dealer
  • Demonstrated knowledge of rules, regulations and best practices related to broker-dealer operations
  • Strong written and verbal communication skills
  • Ability to interact with a diverse group of colleagues representing various business lines
  • Candidate must be authorized to work permanently in the U.S. Compass Point does not offer sponsorship for work visas.


The ideal candidate will quickly integrate and become a meaningful contributor to the team.


Compass Point is committed to creating a diverse and inclusive environment and is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, religion, sexual orientation, gender identity, national origin, protected veteran status or disability status.


YOU MUST SUBMIT A RESUMÉ TO BE CONSIDERED FOR THIS POSITION. NO PHONE CALLS. NO EMAILS.

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