Chief Compliance Officer
The Reserves Network has partnered with a fast-growing, entrepreneurial financial services company to find their next Chief Compliance Officer BrokerDealer business.
We are looking for someone that values partnership and authentic relationships to help transform the lives of our advisor community.
WHAT IS GREAT ABOUT THIS OPPORTUNITY?Join a fast-growing, entrepreneurial financial services company as Chief Compliance OfficerWork with registered investment advisors (RIAs) and advisors across the United StatesDeep expertise in brokerage, compliance, technology, and operationsValues rooted in personal, authentic, collaborative, and knowledgeable approachAspirational B2B leader in the financial services industryCompensation commensurate with experienceDO YOU ALIGN WITH THESE KEY QUALIFICATIONS?Bachelor's degree in business administration, law, or related fieldAdvanced degree (MBA, JD) is a plusRequired licenses/certifications:
Series 7, 24, and 63Preferred licenses/certifications:
Series 51, 53, 4, 65, or 6610
years of experience in financial services/regulatory compliance or related rolesExtensive knowledge of FINRA and SEC laws and regulationsAbility to work in a fast-paced and high-volume environmentTech-savvy and adaptable team playerPassionate about ComplianceWHAT WILL YOU DO?Collaborate with the Executive Team to drive compliance initiativesFoster and secure a company-wide compliance cultureDevelop, implement, maintain, and test compliance programsLead and manage day-to-day compliance and regulatory matters in Securities, Broker-Dealer, and all business functionsEstablish policies and controls to ensure adherence to laws and regulations (FINRA, SEC)Maintain the firm's privacy policy and oversee privacy noticesAssist with regulatory exams, requests, and internal reviewsWHAT WILL YOU RECEIVE?Gain access to The Reserves Network Team:
Partnership with experienced recruiters that will advise you on all aspects of your job search and career aspirationsDirect access to key Leadership.
Your information will reach the decision-makers for this opportunity and many more like thisLong-term career partner who will provide you with market intelligence and guidanceThe Reserves Network, we are the recruitment advisors our clients trust to expertly uncover professionals with not only the experience, skills, and abilities, but also the passion, ethics, and integrity that are critical to your success.
We are the experts professionals turn to for direct access to challenging and rewarding jobs in their field, many of which are unadvertised.
#EXEC1 Recommended Skills Brokerage Business Administration Entrepreneurship Finance Leadership Passionate Estimated Salary: $20 to $28 per hour based on qualifications.
We are looking for someone that values partnership and authentic relationships to help transform the lives of our advisor community.
WHAT IS GREAT ABOUT THIS OPPORTUNITY?Join a fast-growing, entrepreneurial financial services company as Chief Compliance OfficerWork with registered investment advisors (RIAs) and advisors across the United StatesDeep expertise in brokerage, compliance, technology, and operationsValues rooted in personal, authentic, collaborative, and knowledgeable approachAspirational B2B leader in the financial services industryCompensation commensurate with experienceDO YOU ALIGN WITH THESE KEY QUALIFICATIONS?Bachelor's degree in business administration, law, or related fieldAdvanced degree (MBA, JD) is a plusRequired licenses/certifications:
Series 7, 24, and 63Preferred licenses/certifications:
Series 51, 53, 4, 65, or 6610
years of experience in financial services/regulatory compliance or related rolesExtensive knowledge of FINRA and SEC laws and regulationsAbility to work in a fast-paced and high-volume environmentTech-savvy and adaptable team playerPassionate about ComplianceWHAT WILL YOU DO?Collaborate with the Executive Team to drive compliance initiativesFoster and secure a company-wide compliance cultureDevelop, implement, maintain, and test compliance programsLead and manage day-to-day compliance and regulatory matters in Securities, Broker-Dealer, and all business functionsEstablish policies and controls to ensure adherence to laws and regulations (FINRA, SEC)Maintain the firm's privacy policy and oversee privacy noticesAssist with regulatory exams, requests, and internal reviewsWHAT WILL YOU RECEIVE?Gain access to The Reserves Network Team:
Partnership with experienced recruiters that will advise you on all aspects of your job search and career aspirationsDirect access to key Leadership.
Your information will reach the decision-makers for this opportunity and many more like thisLong-term career partner who will provide you with market intelligence and guidanceThe Reserves Network, we are the recruitment advisors our clients trust to expertly uncover professionals with not only the experience, skills, and abilities, but also the passion, ethics, and integrity that are critical to your success.
We are the experts professionals turn to for direct access to challenging and rewarding jobs in their field, many of which are unadvertised.
#EXEC1 Recommended Skills Brokerage Business Administration Entrepreneurship Finance Leadership Passionate Estimated Salary: $20 to $28 per hour based on qualifications.
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