Senior Compliance Officer

Senior Compliance Officer

Compliance Officer reporting directly to Chief Executive Officer (CEO) of FINRA member Broker-Dealer.

Will at times act as Chief Compliance Officer (CCO) and may have the opportunity to be promoted quickly to CCO position depending on initial success.

This Broker-Dealer has an exciting, unique business model.

Primary Requirements

Compliance or Supervisory experience at an Automated Trading System (ATS) or Electronic Communication Network (ECN).

Experience supervising or performing Compliance Advisory role for Fixed Income trading and operations.


Addtional Candidate Requirements

Series 7, 24, 53, and 63 registrations, mandatory.

3 + years compliance or supervising principal role, including managing the compliance functions of a broker dealer

Excellent knowledge of SEC and FINRA rules, regulations, and regulatory practices

Strong knowledge of Fixed Income products

Strong knowledge of Anti-Money Laundering (AML) and customer identification (CIP) rules and regulations, preferred

Experience creating or updating Written Supervisory Procedures and compliance policies and procedures

Experience with S.E.C. and FINRA regulatory examinations

Ability to take initiative, and lead by example in teamwork and cross-unit co-operation

Strong knowledge of trade reporting requirements and procedures

Experience in maintaining broker dealer books and records and making regulatory filings, such as Form BD amendments and U-4 and U-5 filings, preferred

Experience reviewing advertisements and sales literature

Knowledge of FINRA rules and regulations pertaining to electronic communications and the internet, strongly preferred

Strong interpersonal skills. Superior judgment

Excellent oral and written communication; strong presentation and training capabilities

Strong ethics and values to ensure regulatory compliance and adherence to company and industry standards

Experience communicating with to influence all levels of management/staff


Responsibilities

Keep up-to-date with regulatory changes and proposed changes, and updating policies and procedures to reflect those changes

Act as Executive Representative to FINRA and interface with FINRA, S.E.C. during examinations and inquiries

Maintain broker dealer books and records in accordance with industry regulations, and make regulatory filings on behalf of the broker dealer

Review advertising and sales literature and filing advertisements with FINRA

AML, OFAC, and CIP compliance and reporting

Trade oversight and surveillance

Create, maintain, and enforce written supervisory procedures and compliance policies

Branch office review

Correspondence and e-mail review

OATS, TRACE, and MSRB transaction reporting

Business Continuity Plan (BCP) maintenance and reporting

Ongoing compliance training of employees

Review and approve account applications

Perform Continuing Membership Agreement 1017 filings for significant changes in business, as needed

Administer FINRA Firm Gateway, Web CRD, Report Center, and firm contacts

Responsible for compliance with Firm Element Continuing Education requirements

Conduct annual compliance meetings