Job Summary:
We are seeing a Chief Compliance Officer that currently has experience working within the operations of an independent, dually registered Broker Dealer and Registered Investment Advisor. Ideally the candidate would be responsible for supervising the daily compliance and operations of the firm, ensuring that the firm maintains and complies with all security regulations and requirements and would be the direct contact between the different regulatory bodies, auditors and executive management.
Major Job Functions:
- Ensuring that the firm is operating in accordance to its Working Supervisory Procedures
- That the firm maintains required registrations and continuing education of the firm and of the financial advisors
- Is the direct contact with the clearing firm, vendors and consultants
- Staying up to date on regulatory changes and industry best practices and can create policies and procedures for new rules and regulations
- Can act as the point of contact for the firm's executive management team
- Conduct regular audits to identify potential compliance issues
- Facilitate daily operations of the firm in conjunction with compliance responsibilities
Requirements:
- Bachelor's degree in Business Administration, Finance, or related field; Master's degree preferred
- Proven experience in a compliance role, preferably in a financial institution
- Strong knowledge of FINRA, SEC and State rules and regulations
- Ability to conduct internal audits and oversee regulatory reporting
- Excellent understanding of compliance concepts and risk management practices
- FINRA Series Exams (FINRA Principle License preferred)
Joining our team as the Chief Compliance Officer offers an exciting opportunity to lead our organization in maintaining the highest standards of compliance. If you are a detail-oriented professional with a passion for ensuring regulatory adherence, we invite you to apply for this key role.
Job Type: Full-time
Pay: $60,000.00 - $120,000.00 per year
Benefits:
- Dental insurance
- Employee discount
- Health insurance
- Paid time off
- Professional development assistance
- Retirement plan
- Vision insurance
Physical setting:
Schedule:
- 8 hour shift
- Monday to Friday
- No weekends
Ability to Commute:
- Seven Fields, PA 16046 (Required)
Ability to Relocate:
- Seven Fields, PA 16046: Relocate before starting work (Required)
Work Location: In person