Chief Compliance Officer (Hybrid)- Glenview, IL
Chief Compliance Officer (Hybrid)- Full Time
Location: Glenview, IL, 60025
What you will be doing:
ā¢ Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
ā¢ Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
ā¢ Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
ā¢ Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
ā¢ Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
ā¢ Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
ā¢ Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
ā¢ 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:
ā¢ At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
ā¢ Self-directed brokerage experience desired.
ā¢ Series 7, 24, and 65/66 licenses required.
ā¢ A Bachelor's Degree is essential, and CAMS certification is preferred.
ā¢ Exceptional organizational, analytical, and problem-solving abilities.
ā¢ Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
ā¢ A proven ability to multitask and thrive in a fast-paced environment.
ā¢ Strong team player with excellent coaching, feedback, and listening skills.
ā¢ Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Top Reasons to work with our client:
ā¢ Innovative trading platform!
ā¢ Supportive team culture!
ā¢ Career advancement opportunities!
ā¢ Focus on professional growth!
ā¢ Competitive salary and benefits!
ā¢ Work with industry experts!
ā¢ Cutting-edge technology!
ā¢ Client-centric approach!
ā¢ Dynamic work environment!
ā¢ Strong reputation in finance!
Apply tot his job
Apply To this Job
Location: Glenview, IL, 60025
What you will be doing:
ā¢ Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
ā¢ Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
ā¢ Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
ā¢ Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
ā¢ Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
ā¢ Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
ā¢ Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
ā¢ 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:
ā¢ At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
ā¢ Self-directed brokerage experience desired.
ā¢ Series 7, 24, and 65/66 licenses required.
ā¢ A Bachelor's Degree is essential, and CAMS certification is preferred.
ā¢ Exceptional organizational, analytical, and problem-solving abilities.
ā¢ Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
ā¢ A proven ability to multitask and thrive in a fast-paced environment.
ā¢ Strong team player with excellent coaching, feedback, and listening skills.
ā¢ Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Top Reasons to work with our client:
ā¢ Innovative trading platform!
ā¢ Supportive team culture!
ā¢ Career advancement opportunities!
ā¢ Focus on professional growth!
ā¢ Competitive salary and benefits!
ā¢ Work with industry experts!
ā¢ Cutting-edge technology!
ā¢ Client-centric approach!
ā¢ Dynamic work environment!
ā¢ Strong reputation in finance!
Apply tot his job
Apply To this Job