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Chief Compliance Officer
Click
Here To Apply Now!
Be responsible for overseeing and managing
all regulatory and compliance matters for the
company. This role will be based in Chicago
and will lead a team of Compliance professionals
to ensure the firm is informed and adheres to
any and all new regulations or laws as it pertains
to company.
Responsibilities:
-Assist management in implementing adequate
controls and quality assurance processes to
provide early identification and prevention
of potential compliance problems.
-Liaise with business leaders and information
systems teams to assist with systems enhancement
and development related to regulatory firm obligations
in order to expedite automation.
-Manage compliance and monitoring issues regarding
personal trading for all employees of the firm.
-Manage the development and implementation of
policies and procedures to ensure that company
practices remain observant to all current federal
and self regulatory organization ("SRO")
laws, rules and regulations.
-Offer advice on general and complex trading
rules and regulations.
-Provide leadership, training and supervision
within the department.
-Remain current with industry trends and changes
to compliance regulations.
-Effectively communicate conclusions and recommendations.
Qualifications:
-10 to 15 years of experience in a senior compliance
role at a Proprietary or Market Making firm.
-Strong relationships with regulators (SEC,
FINRA, exchanges etc.).
-Strong interpersonal skills.
-In-depth knowledge of SEC and CFTC rules and
regulations.
-Series 24 required.
-Series 14 preferred.
Jobs, Chicago, Chief Compliance Officer, Compliance,
Regulations, SEC, FINRA, SEC, CFTC, Series 24,
Series 14
Recruiting
services by Next Step Systems - www.nextstepsystems.com
For more information about this opportunity
contact:
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