We are thrilled to be supporting an existing client who are seeking a highly skilled, proactive, and hands-on US Chief Compliance Officer (CCO) to join their dynamic team in New York.
As our US CCO, you will lead and shape the compliance function of their US entity, which is currently a FINRA-regulated Broker-Dealer and in the process of applying to operate an Alternative Trading System (ATS) and a Security-Based Swaps Execution Facility (SBSEF). You’ll play a critical role in ensuring our business adheres to all relevant regulations while managing key relationships with regulators and driving strategic regulatory initiatives.
What you’ll do:
● Lead US Compliance: Oversee all compliance functions for the US entity, ensuring they meet FINRA and SEC regulations, with a strong focus on operational integrity and risk management.
● Regulatory Relationship Management: Serve as the primary liaison with key regulatory bodies such as FINRA and the SEC. Manage all regulatory interactions, including audits, inquiries, and ongoing correspondence.
● Regulatory Applications: Manage all aspects of existing and new regulatory applications, including the current efforts to operate an ATS and SBSEF. Ensure timely and accurate submission of all regulatory filings and ongoing updates.
● Compliance Reviews & Audits: Conduct comprehensive reviews and internal audits to assess their compliance with applicable laws, regulations, and internal policies. Ensure that any gaps are identified, escalated, and remediated.
● Mitigate Risk: Proactively identify compliance risks and implement robust remediation plans. Collaborate with senior leadership to develop policies and procedures that mitigate risks and enhance control environments.
● Drive Regulatory Change: Lead the implementation of local regulatory changes and ensure that business processes are adapted accordingly. Advise leadership on regulatory trends and their potential impact on the firm’s operations.
● Compliance Culture: Champion a culture of compliance across the organization. Provide training and guidance to employees at all levels, ensuring that compliance is integrated into day-to-day operations and long-term strategic initiatives.
About You:
● Experience: Minimum 5 years of experience in compliance within a FINRA-regulated broker-dealer is required. Experience with SEFs, ATS, or the securities financing industry is highly desirable.
● Regulatory Knowledge: Deep understanding of US regulatory frameworks, including FINRA and SEC regulations. Experience managing direct interactions with regulators is essential.
● Leadership: Demonstrated ability to work cross-functionally, and influence decision-making at all levels of an organization.
● Problem Solver: Strong analytical and critical thinking skills, with the ability to identify compliance risks, determine root causes, and implement practical solutions.
● Excellent Communicator: Outstanding written and verbal communication skills. Able to present complex regulatory information clearly to diverse audiences.
● Detail-Oriented: High attention to detail with a focus on execution and delivering results, even in a fast-paced and evolving environment.
● Team Player: Collaborative, adaptable, and able to balance regulatory requirements with business objectives effectively.
This is an office based role (4 days a week is the expectation).
Our client strongly believes in building a diverse, inclusive team where everyone’s voice is heard. They value collaboration, innovation, and a shared commitment to making the securities financing industry more efficient and transparent. If you’re passionate about compliance and excited to join a forward-thinking company at the forefront of digital transformation, then please apply now!