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Chief Compliance Officer
Location:
Glenview, IL
Description:
Chief Compliance Officer Regal Securities, Inc . is seeking a Chief Compliance Officer (CCO) based at its headquarters in Glenview, Illinois. This leadership position is hybridWe are searching for a motivated CCO to lead the Compliance Department of a FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm. If you are a CCO looking to move to the next level, our well-established Chicago area investment brokerage and Registered Investment Advisory firm might be just the place for you. We are searching for a motivated individual to lead the Compliance Department of a FINRA registered broker-dealer firm. Excellent growth / advancement opportunity. This position may be based in Regal's offices in Glenview, IL, Orlando, and/or Ft. Myers, Florida. Potential remote option available. Essential Responsibilities: Direct and manage a staff of experienced compliance professionals and work closely under the guidance of the Firm's general counsel. Conduct and oversee surveillance for brokerage (including both online deep-discount trading and full service), and fee-based business activities. Monitor and alert management to current regulatory issues, risks, and deadlines. Evaluate and implement latest technology solutions for compliance related surveillance. Communicate proactively with supervisors, registered representatives and investment advisory representatives. Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators. Ensure compliance with annual calendar for regulatory deadlines, filings, audits, internal reviews, etc. Manage the Firm's FINRA Gateway filings (i.e. Form BD, U4s, U5s, state registrations, FOCUS reporting, etc.). Collaborate and review Written Supervisory Procedures and other guidance provided to registered representatives and personnel. Organize and coordinate branch audit inspections of registered representatives. Oversee and administer the Firm's Anti-Money Laundering (AML) Program. Improve the efficiency of the Firm's supervisory system of branch and home offices. Conduct risk oversee assessments and internal reviews for the Firm's activities, and test the effectiveness of policies and procedures Requirements: Minimum of 8 years professional compliance experience, with extensive knowledge of FINRA and SEC regulations Series 7, 24, 65/66 required Bachelor's Degree Extensive experience dealing with SEC, FINRA, and state securities regulators Certified Anti-Money Laundering Specialist designation is preferred Detail orientated, accurate, organized, able to set priorities Excellent interpersonal skills, sound judgement and ability to work effectively with staff at all levels Solid written and verbal communication skills Ability to multi-task and adapt to quick-shifting priorities Team player with strong coaching, feedback and listening skills Candidate must have a broad range of knowledge of regulatory landscape for broker-dealers, registered investment advisors, and have a wide range of experience with investment products in the financial services industry. The Firm offers a fast-paced, challenging environment, and you will have the chance to play a large role in its exciting growth initiatives for its representatives and advisors throughout the country. Powered by JazzHR
Company:
Regal Securities
Posted:
January 2 on The Resumator
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More About this Listing: Chief Compliance Officer
Chief Compliance Officer is a Executive Compliance Officer Job at Regal Securities located in Glenview IL. Find other listings like Chief Compliance Officer by searching Oodle for Executive Compliance Officer Jobs.
Chief Compliance Officer is a Executive Compliance Officer Job at Regal Securities located in Glenview IL. Find other listings like Chief Compliance Officer by searching Oodle for Executive Compliance Officer Jobs.