Chief Compliance Officer
3 days ago
TZ Clearing Company, a leading provider of clearing services, is seeking a seasoned professional to fill the role of Chief Compliance Officer for its subsidiary. The ideal candidate will possess significant experience as a senior compliance officer for a US clearing firm, with a strong background in regulatory affairs.
Key Responsibilities:
- Ensure compliance with OATS/CAT reporting requirements
- Develop and implement 15c3-5 compliance strategies
- Oversee advertising and marketing compliance initiatives
- Manage FINRA personnel registration processes
- Familiarize yourself with US equities and options products
- Gain insight into active retail trading
- Engage with US regulators and regulatory investigations
Requirements:
- Series 24 and other relevant FINRA licensing
- Strong understanding of regulatory frameworks
- Excellent communication and leadership skills
About TZ Clearing Company:
TZ Clearing Company is a subsidiary of TradeZero, a leading provider of clearing services. Our company is dedicated to delivering exceptional clearing services to our clients, and we are seeking a talented professional to join our team as Chief Compliance Officer.
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