Title: Chief Compliance Officer (826-4)
Location: Akron, OH
Compensation: Commensurate with experience
Summary/Responsibilities:
Be responsible for a comprehensive Compliance Program for the broker-dealer, which includes supporting the firm’s supervision of its independently-contracted representatives and their offer of brokerage and advisory services.
Manage, mentor and develop the professional staff of the Compliance Department, including licensing and registration staff.
Provide all day-to-day compliance support for the broker-dealer
Establish, maintain and participate in the enforcement of policies and procedures utilized by the broker-dealer
Oversee the firm’s compliance testing and annual reviews of the broker-dealer
Lead the preparation and filing of all required regulatory documents
Manage all regulatory examinations and inquiries, as well as investigate and respond to customer complaints or inquiries
Lead the development of risk management and risk control processes, including a robust surveillance program
Provide strategic and tactical advice on compliance and regulatory matters to Senior Management of the Firm
Be an active participant in firm committees and project teams, including leading project teams as necessary
Manage relationships with vendors who provide Compliance-related services
Coordinate with the Chief Compliance Officers of other entities within the firm's family of companies to ensure consistency of compliance programs and approaches
Prepare and deliver annual reports on the state of the Compliance Program as required or requested
Accurately analyze complex problems and develop solutions that represent best practices
Accurately interpret and apply regulatory rules to firm’s business
Keep current with proposed and new rules and manage regulatory change initiatives
Draft policies and procedures
Review and provide feedback on contracts and agreements, including selling agreements
Conduct due diligence on new products
Develop and maintain effective working relationships with, and provide advice to, business leaders and Member Offices
Requirements:
Series 7 and Series 24 Licenses required
Bachelor’s degree required
J.D. strongly preferred, with meaningful time spent in the practice of law in a relevant field
At least 10 years of progressively responsible Broker-Dealer compliance experience, either as a compliance professional, a regulator, or an attorney
Demonstrated expertise with financial services regulatory scheme, including SEC and FINRA rules and regulations
Investment advisory experience helpful but not required
Experience with general corporate matters helpful but not required
Outstanding written and verbal communication skills, with demonstrated ability to think strategically to solve problems and implement solutions
Ability to work independently, meet deadlines and handle multiple matters simultaneously
Ability to successfully manage both people and projects
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Zach Stierhoff
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x102
zach@brokerageconsultants.com
www.brokerageconsultants.com
Location: Akron, OH
Compensation: Commensurate with experience
Summary/Responsibilities:
Be responsible for a comprehensive Compliance Program for the broker-dealer, which includes supporting the firm’s supervision of its independently-contracted representatives and their offer of brokerage and advisory services.
Manage, mentor and develop the professional staff of the Compliance Department, including licensing and registration staff.
Provide all day-to-day compliance support for the broker-dealer
Establish, maintain and participate in the enforcement of policies and procedures utilized by the broker-dealer
Oversee the firm’s compliance testing and annual reviews of the broker-dealer
Lead the preparation and filing of all required regulatory documents
Manage all regulatory examinations and inquiries, as well as investigate and respond to customer complaints or inquiries
Lead the development of risk management and risk control processes, including a robust surveillance program
Provide strategic and tactical advice on compliance and regulatory matters to Senior Management of the Firm
Be an active participant in firm committees and project teams, including leading project teams as necessary
Manage relationships with vendors who provide Compliance-related services
Coordinate with the Chief Compliance Officers of other entities within the firm's family of companies to ensure consistency of compliance programs and approaches
Prepare and deliver annual reports on the state of the Compliance Program as required or requested
Accurately analyze complex problems and develop solutions that represent best practices
Accurately interpret and apply regulatory rules to firm’s business
Keep current with proposed and new rules and manage regulatory change initiatives
Draft policies and procedures
Review and provide feedback on contracts and agreements, including selling agreements
Conduct due diligence on new products
Develop and maintain effective working relationships with, and provide advice to, business leaders and Member Offices
Requirements:
Series 7 and Series 24 Licenses required
Bachelor’s degree required
J.D. strongly preferred, with meaningful time spent in the practice of law in a relevant field
At least 10 years of progressively responsible Broker-Dealer compliance experience, either as a compliance professional, a regulator, or an attorney
Demonstrated expertise with financial services regulatory scheme, including SEC and FINRA rules and regulations
Investment advisory experience helpful but not required
Experience with general corporate matters helpful but not required
Outstanding written and verbal communication skills, with demonstrated ability to think strategically to solve problems and implement solutions
Ability to work independently, meet deadlines and handle multiple matters simultaneously
Ability to successfully manage both people and projects
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Zach Stierhoff
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x102
zach@brokerageconsultants.com
www.brokerageconsultants.com
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