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Reporting to General Counsel, the CCO will be responsible for working with senior executives at the firm to formalize and maintain policies and procedures to ensure that the business is in compliance with applicable securities laws and to ensure appropriate safeguards are in place to prevent, detect and correct compliance failures.
Interface with management to develop new compliance policies and procedures
Initial and on-going collection and evaluation of existing policies and procedures, and developing new policies and procedures as needed
Prepare presentations for the Executive Committee or Board of Directors regarding the organization's compliance program
Interface and handle all regulatory examinations and inquiries
Assist in developing, implementing and presenting educational and training programs and other compliance-related educational programs
Extensive senior management contact and daily interaction with various departments within the organization
Advise different business units on new or revised regulations
Answer employees questions regarding rules and regulations
The ideal candidate will be educated to a degree level with a JD, 10-15 years of Broker/Dealer experience in Compliance with Series 7, 9, 10, 14, 24 and 63. In depth knowledge of New York Stock Exchange, National Association of Securities Dealers, and federal securities rules and regulations.
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