Chief Compliance Officer (Hybrid)- Glenview, IL

Chief Compliance Officer (Hybrid)- Full Time

Location: Glenview, IL, 60025

What you will be doing:

• Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.

• Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.

• Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.

• Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.

• Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.

• Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.

• Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.

• Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.

Experience you will need:

• At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.

• Self-directed brokerage experience desired.

• Series 7, 24, and 65/66 licenses required.

• A Bachelor's Degree is essential, and CAMS certification is preferred.

• Exceptional organizational, analytical, and problem-solving abilities.

• Stellar written and verbal communication skills, with the ability to influence and engage at all levels.

• A proven ability to multitask and thrive in a fast-paced environment.

• Strong team player with excellent coaching, feedback, and listening skills.

• Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

Top Reasons to work with our client:

• Innovative trading platform!

• Supportive team culture!

• Career advancement opportunities!

• Focus on professional growth!

• Competitive salary and benefits!

• Work with industry experts!

• Cutting-edge technology!

• Client-centric approach!

• Dynamic work environment!

• Strong reputation in finance!

Last updated on Aug 26, 2024