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Des Moines, IA US
We are searching for a Relationship Manager to join our growing Agricultural / Agribusiness platform. This position can be based out of Des Moines, IA and be ...
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~ Cheif Compliance Officer ~
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| Job Number: | 25642035 | | Company Name: | Robert Half Finance & Accounting | | Job Location: | Des Moines, IA US | | Job Category: | Management & Business |
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~ Cheif Compliance Officer ~
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~ Cheif Compliance Officer ~
CCO SEARCH!!!
Our client, a broker-dealer, is seeking a multi-tasking, team player to contribute to the forward bound direction of the organization!! The Chief Compliance Officer (CCO) is responsible for ensuring that the Firm and its registered representatives, registered principals and other associates are in compliance with all laws, rules and regulations by which they are governed. This key person must be knowledgeable about the laws, rules and regulations to which the Firm is subject and should understand the steps needed to maintain the Firm’s compliance program and adapt to its changing regulatory environment. FINRA Series 7, 63, and 24 licenses are required.
This person will be responsible for leading, managing, coordinating, and supervising all regulatory compliance activities for the Firm including all agents, employees, representatives, and offices of supervisory jurisdiction. This person will also be responsible for developing and maintaining firm-wide compliance programs, policies, procedures, plans and controls consistent with regulations and regulatory policy applicable to securities laws.
This is a very visible position within the entire corporation; top notch communication skills are expected!! If this sounds like something that you have proven experience in, specifically at least 10 years, a MA or JD (preferred) and an attitude that you will do what it takes to get the job done than call me today!!! To $150K depending on experience! For IMMEDIATE and CONFIDENTIAL consideration, please call Terra Williams at or e-mail resume to referencing job order number 01500-116550.
Additional Information
Location: Des Moines, IA
Job ID: 01500-116550
Experience: 1. FINRA Series 7, 63 and 24 licenses – understands rules, regulations and the workings of FINRA
2. Someone who can embrace a smaller company
3. Broker Dealer experience
4. VP Level – been there and done that!!
Unit: Robert Half Finance & Accounting
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