Chief Compliance Officer
About the Company
Pioneering healthcare solutions provider for the agriculture industry
Industry
Hospital & Health Care
Type
Privately Held
Founded
1957
Employees
201-500
Specialties
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for the day-to-day supervision and activities of the broker-dealer/investment advisor, client accounts and investment administration, and broker and banking relationships. This role requires enhancing and maintaining written supervisory procedures, training, licensing, internal controls, and various regulatory responsibilities. The Chief Compliance Officer will also be involved in managing compliance, administration, and overall supervision of registered representatives and investment advisers, as well as conducting regulatory examinations and ensuring adherence to laws. Applicants for the Chief Compliance Officer position at the company should have a BA/BS and/or 10 years of relevant compliance experience, preferably at a regional or national retail brokerage firm. A proven track record in the field is preferred. The role demands excellent familiarity with the SEC and FINRA environment, as well as a clean U-4 with current Series 7, 24, 53, 99, and 66 licensing. The ideal candidate will have experience with commission vs. advisory business, knowledge of trading, and be familiar with OATS/CATS and TRACE reporting. High standards of integrity, ethical judgment, and excellent communication skills are essential. The Chief Compliance Officer will also be responsible for administrative tasks, including updating business continuity and cybersecurity plans, and serving as the Corporate Secretary for the financial services division.
Travel Percent
Less than 10%
Functions
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