Lead Compliance Professional

3 weeks ago


Chicago, Illinois, United States MMC Corporate Full time
Job Summary:

We are seeking a highly experienced Chief Counsel to join our team at MMC Corporate. As a key member of our Legal and Compliance department, you will provide expert legal and regulatory guidance to the organization. The ideal candidate will have a deep understanding of FINRA rules and regulations, as well as excellent leadership and communication skills.

The role requires a JD degree, a Bachelor's degree, and 10+ years of experience in broker-dealer compliance. You will be responsible for leading the development and execution of strategic vision for compliance programs, ensuring they effectively manage risk and support business objectives.

Main Responsibilities:
  • Lead and continually evolve MMA Securities, MMA Asset Management, and MMC Securities Compliance programs
  • Provide legal and regulatory guidance for broker-dealer operations
  • Plan and organize day-to-day compliance responsibilities
  • Act as FINRA and SEC regulatory liaison for affiliated entities

What We Offer:
  • Estimated salary range: $138,700 - $277,300
  • Total rewards package including health and welfare benefits, tuition assistance, 401K savings, and employee assistance programs


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