Chief Compliance Officer

3 days ago


Brooklyn, New York, United States TZ CLEARING Company Full time

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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