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Senior Compliance Officer

1 month ago

Charlotte North Carolina United States Social Capital Resources Full time

Our client is seeking an experienced Compliance Officer with a strong background in the broker-dealer industry to oversee their compliance program. This role is critical in ensuring adherence to Client and SEC regulations, safeguarding the firm's reputation and mitigating compliance risks.


Key Responsibilities:

  • Regulatory Compliance: Ensure the firm complies with all applicable Client and SEC regulations, including reporting and disclosure obligations.
  • Policy Development: Develop, implement, and maintain compliance policies and procedures tailored to the broker-dealer environment.
  • Risk Assessment: Conduct regular risk assessments and compliance audits to identify and mitigate potential compliance risks.
  • Training and Education: Design and deliver compliance training programs for employees to promote a culture of compliance and awareness of regulatory requirements.
  • Monitoring and Reporting: Oversee monitoring activities and prepare reports for senior management and regulatory authorities as needed.