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.

  • Chief Compliance Officer

    1 month ago

    Washington, United States Larson Maddox Full time

    A leading, full-service investment banking firm is looking for you to join the team as it's next Chief Compliance Officer! This is an incredibly exciting to join the team where you will lead the broker dealer side of the business. The ideal candidate has at least 10 years of experience working within BD compliance, has an active Series 7 & 24, and has...

  • Chief Compliance Officer

    1 month ago

    Washington D.C., United States Larson Maddox Full time

    A leading, full-service investment banking firm is looking for you to join the team as it's next Chief Compliance Officer! This is an incredibly exciting to join the team where you will lead the broker dealer side of the business. The ideal candidate has at least 10 years of experience working within BD compliance, has an active Series 7 & 24, and has...

  • Chief Financial Officer: Cash Management Specialist

    3 weeks ago

    Washington, United States Office of The Chief Financial Officer Full time

    This is a challenging and rewarding role within the Office of the Chief Financial Officer, Washington Convention Center Authority (Events DC).Job OverviewThe incumbent is responsible for managing cash and investment handling as part of the Finance team that supports all Events DC business activities.The incumbent is also responsible for all activities...

  • Chief Compliance Officer

    3 weeks ago

    Washington, United States International Erosion Control Association 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...

  • Chief Compliance Officer

    3 weeks ago

    Washington, United States International Erosion Control Association 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...

  • 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...

  • Chief Compliance Officer

    1 month 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...

  • 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...

  • Chief Sustainability Officer

    3 weeks ago

    Washington, United States Courseadvisor Full time

    What Do Chief Sustainability Officers Do? Chief Sustainability Officer Example: Communicate and coordinate with management, shareholders, customers, and employees to address sustainability issues. Enact or oversee a corporate sustainability strategy. Life As a Chief Sustainability Officer Write and distribute financial or environmental impact...

  • Chief Sustainability Officer

    3 weeks ago

    Washington, United States Courseadvisor Full time

    What Do Chief Sustainability Officers Do? Chief Sustainability Officer Example: Communicate and coordinate with management, shareholders, customers, and employees to address sustainability issues. Enact or oversee a corporate sustainability strategy. Life As a Chief Sustainability Officer Write and distribute financial or environmental impact...

  • Cybersecurity Lead

    6 days ago

    Washington, United States Chief Digital & Artificial Intelligence Office Full time

    Salary and BenefitsWe offer a competitive salary and benefits package, including health insurance, retirement savings, and paid time off. The estimated annual salary for this position is $163,964-$191,900, based on location and experience.The Chief Digital and Artificial Intelligence Office is an equal opportunity employer committed to diversity and...

  • Chief Finance Officer

    4 days ago

    Washington, United States EPIP Full time

    N Street Village is a community of empowerment and recovery for homeless and low-income women in Washington, DC. With comprehensive services addressing both emergency and long-term needs, N Street Village helps women achieve stability and make meaningful gains in their housing, income, employment, mental health, physical health, and addiction recovery. N...

  • Financial Compliance Manager

    1 month ago

    washington, United States Department of the Treasury Full time

    Duties As a Financial Compliance Manager (Chief, Office of Compliance), you will: Direct and monitor the Bureau's internal control, product accountability, and internal quality audit program to provide reasonable assurance that assets are safeguarded from loss, misuse, or misappropriation, and to ensure conformance with the Bureau's quality management...

  • Chief Information Security Officer, Risk and Compliance

    3 weeks ago

    Washington, United States Atlantic Council Full time

    About the RoleWe are seeking a seasoned Chief Information Security Officer, Risk and Compliance to join our team at the Atlantic Council in Washington, DC. The successful candidate will play a critical role in protecting and informing the organization to support our mission.Job SummaryThe Chief Information Security Officer, Risk and Compliance will be...

  • Cloud ERP Technical Specialist

    14 hours ago

    Washington, United States The Office of the Chief Financial Officer (OCFO) Full time

    The Office of the Chief Financial Officer (OCFO) is seeking a highly skilled Oracle ERP Product Specialist to join their team in the Office of the Chief Information Officer (OCIO).This position involves working closely with OCFO and other District government stakeholders to design, document, develop, modify, test, install, implement, and support new or...

  • Customer Service Representative

    6 days ago

    Washington, United States Office of the Chief Financial Officer Full time

    The Office of the Chief Financial Officer (OCFO) in Washington, DC is seeking a highly skilled Customer Service Representative to lead its team in providing exceptional customer service and managing cash operations. As a key member of the OCFO, you will be responsible for processing cash and cash-like instruments, disbursing funds, and reconciling financial...

  • Chief Legal Officer for Compliance and Strategy

    3 weeks ago

    Washington, United States Promise Full time

    Promise is a forward-thinking company empowering utilities and government agencies to create flexible, affordable solutions for individuals struggling with debt. Our innovative approach to payment plans and relief distribution significantly improves enrollment and recovery rates, helping individuals clear debts faster and reducing delinquencies for our...

  • Chief Information Officer

    6 days ago

    Washington, United States Chief Digital & Artificial Intelligence Office Full time

    Job DescriptionCybersecurity is a critical component of the Chief Digital and Artificial Intelligence Office's mission to accelerate the adoption of data, analytics, and Artificial Intelligence across the Department of Defense. As an IT Cybersecurity Specialist, you will play a key role in developing and implementing cyberspace plans, strategies, and...

  • Deputy Chief Financial Officer

    1 month ago

    Washington, United States Pailin Group Psc Full time

    Deputy Chief Financial Officer — The Pailin Group Professional Search Consultants Location: Washington, DC Salary: $178,018 a year Job Number: MGT-41-53-1219-V Department: Finance Special Note: The deputy chief financial officer will assist with long-term financial planning, treasury risk management, systems administration, contract administration,...

  • Inventory Management Specialist Leader

    3 weeks ago

    Washington, United States Office of the Chief Administrative Officer Full time

    About the RoleWe are seeking a highly skilled and experienced Inventory Management Specialist to join our team in Washington, D.C. As a key member of the Office of the Chief Administrative Officer, you will play a critical role in managing the Department's personal property inventory programs.