Our client, a leading corporate bank, is looking for a Chief Compliance Officer to join their Broker Dealer team.
CHIEF COMPLIANCE OFFICER BROKER INVESTMENT ADVISOR WHAT IS THE OPPORTUNITY?
Responsible for evaluating enterprise risk in accordance with regulatory compliance policies, goals, and objectives established by the dual-registered broker dealer – investment adviser firm (BD-RIA). Also be fully responsible and accountable for the design and execution of the compliance program for the BD-RIA to assure that regulatory compliance is maintained at highest possible levels. Requires working closely with internal/external legal counsel to the firm, as needed, with respect to legal reviews and guidance for the firm. Position is also responsible for ensuring that the bank’s Wealth Management-Securities Sales and Trading (WM-SST) are in compliance with rules and regulations that govern Broker Dealers / Investment Advisers including the Securities and Exchange Commission ("SEC"), Financial Industry Regulatory Authority ("FINRA"), Municipal Securities Rulemaking Board ("MSRB") and other regulatory bodies as well as any specifically required under the bank.
Risk Management Division This is a great opportunity to grow your career with a stable and expanding organization as a member of the bank’s Risk Management team. The focus is on ensuring business activities remain safe, compliant and well-positioned for future opportunity and sustainable growth.
WHAT WILL YOU DO?