Chief Compliance Officer Broker Dealer

## Key Responsibilities: Establish and implement standards, policies and procedures for the broker-dealer compliance program. Manage the firm’s FINRA Gateway filings, complete periodic regulatory reporting submissions, and coordinate broker-dealer audits and inspections. Oversee trade related compliance activities, including the reporting for equity securities. Coordinate responses to inquiries from regulatory authorities. Manage all aspects of the US firm’s AML compliance program. Collaborate with other control functions such as compliance, risk, operations to address any regulatory issues which may impact the function, business or product. Assist with development, maintenance and delivery of compliance related materials, including policies and procedures, manuals and training materials against regulatory requirements and best practices. Review and approve marketing materials, ensuring it complies with applicable financial promotion rules. Support compliance and regulatory projects, including authorisations, transaction monitoring and surveillance. Investigating and analyzing automated transaction monitoring alerts. Involvement in regulatory horizon scanning, including interpreting the regulation, scoping and analysis, and implementing new regulation changes. Reviewing new publications from regulators and communicating their impact to stakeholders. ## Hard Skills Requirements: Series 7 and 24 licenses required. At least 8+ years of compliance experience, preferably in a senior role supporting a broker-dealer. Strong understanding of regulatory agencies’ rule and regulations, especially SEC and FINRA rules. Experience in relation to proprietary trading, financial services and/or crypto. Ability to read and interpret regulations and implement changes related to broker-dealer compliance. Strong attention to detail and able to prioritize workload to meet tight deadlines. Excellent communication skills, both written and verbal. • *If you’re passionate about blockchain and decentralized technologies, explore more opportunities in web3 and cryptocurrency careers.** Apply tot his job Apply To this Job