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Compliance Officer

4 weeks ago

Glenview, Kentucky, United States FutureRecruit Full time
Lead with Vision:

As a key member of our team, you will inspire and manage a talented group of compliance professionals, fostering a culture of excellence and continuous improvement. Your expertise will be crucial in monitoring and anticipating regulatory changes, advising senior management on emerging risks and critical deadlines.

Innovate with Technology:
Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities, ensuring we stay ahead of the curve. Your ability to communicate effectively with supervisors, registered representatives, and advisory representatives will be essential in ensuring everyone is aligned and informed.

Navigate Complexities:
Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence. Your organizational skills will be put to the test as you ensure timely completion of regulatory filings, audits, and internal reviews.

Lead Investigations:
Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes. Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.

Experience you will need:
At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations. Self-directed brokerage experience is desired. Series 7, 24, and 65/66 licenses are required. A Bachelor's Degree is essential, and CAMS certification is preferred. You will need exceptional organizational, analytical, and problem-solving abilities, as well as stellar written and verbal communication skills, with the ability to influence and engage at all levels. A proven ability to multitask and thrive in a fast-paced environment is also essential. Strong team player with excellent coaching, feedback, and listening skills. Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

Top Reasons to work with our client:
Innovative trading platform
Supportive team culture
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Competitive salary and benefits
Work with industry experts
Cutting-edge technology
Client-centric approach
Dynamic work environment
Strong reputation in finance