Outsourced Chief Compliance Officer- Broker Dealer

The Opportunity:

This position is responsible for servicing our compliance consulting clients, which include broker-dealers, investment advisers, hedge funds and private equity firms. 

 What you’ll do:

• Provide consulting to our broker-dealer clients
• Perform CCO duties and functions – specifically onsite consulting, providing direct CCO level support, conducting exams, customizing policies and procedures and leading clients in maintaining best in class compliance programs
• Complete onsite examinations, testing, and other onsite client visits as required
• Assist with business development by providing technical expertise and industry knowledge
• Assist with webinars, conferences, newsletters, blogs, and other publications
• Conduct oneself in a professional manner
• Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies
• Potentially being named as CCO on form BD (outsourced CCO)
• Thorough use of CRM system to document work product
• Other tasks and projects as assigned

 

To qualify for the role you must have:

• 10+ years related industry experience
• Must hold Series 7 and 24 li