Chief Compliance Officer

3 weeks ago

Bloomfield Hills, United States Chicago Financial Search, Inc. Full time

Chief Compliance Officer

Bloomfield Hills, Michigan - Onsite

This role is onsite and requires a candidate local to the Bloomfield Hills, Michigan area.

About The Role:

You will oversee and enforce the overall compliance and regulatory affairs of the firm including its risk management practices. The CCO will be responsible for ensuring the business complies with regulatory environments, ethical business practices, and firm policies.

What You’ll Do:

  • Execute the core of the compliance program: monitor Code of Ethics, review marketing materials, provide trade surveillance, create policies and procedures, perform compliance testing, chaperone expert network calls and prepare all regulatory filings
  • Keep abreast of regulatory developments and industry trends to ensure the compliance program remains current and effective
  • Offer strategic advice on business matters pertaining to legal, compliance, risk management, or anything that could use improvement – the team fosters an environment of elevating business practices
  • Ensure that policies and procedures implemented are effective and being adhered to by employees. Address, communicate, and resolve compliance exceptions as needed, including trade errors, guideline and restriction breaches, code of ethics violations, etc.
  • Provide leadership and direction on compliance, regulatory and best practice matters within the firm.
  • Analysis and interpretation of applicable laws and regulations. Oversee and monitor the implementation of procedures to address new regulatory rules and requirements.

What We’re Looking For:

  • Bachelor's degree in Finance or Business or equivalent years’ experience in finance, compliance, or auditing preferred; Familiarity with commodity derivatives preferred
  • Minimum of five (5) years relevant work experience
  • Team player with the ability to work with diverse personalities.
  • Multi-tasking ability to complete projects within tight time constraints and adapt quickly as needs change.
  • Bachelor’s Degree required.
  • Capability to work independently and thrive in a high-intensity environment.

OOJ – 1375

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