Chief Compliance Officer - Securities Compliance and Regulatory Affairs
Description The Chief Compliance Officer will be responsible for developing and implementing policies and procedures to meet applicable securities regulatory requirements. You will establish, review, test, and modify these policies to ensure compliance with relevant securities laws, regulations, and FINRA rules, evidenced by the annual FINRA Rule 3130 certification. Leading the company’s broker-dealer Compliance team and program is a key responsibility of this role. Company Culture and Environment The organization values compliance and accountability, fostering an environment where adherence to regulations is prioritized. Collaboration within the broker-dealer Compliance team enhances a culture of teamwork and shared responsibility. Career Growth and Development Opportunities This position offers opportunities for continued professional growth within the compliance sector, allowing for skill enhancement and career advancement in a reputable firm. Detailed Benefits and Perks • Remote work flexibility • Competitive compensation package • Opportunities for professional development Compensation and Benefits • Competitive salary based on experience • Health, dental, and vision insurance options • Retirement savings plan with company matching • Generous vacation and paid time off policy • Flexible working hours Why you should apply for this position today This role offers a unique opportunity to shape compliance strategies within a dynamic organization while contributing to the integrity and reliability of the financial services industry. By applying today, you can join a team that values compliance and innovation. Skills • In-depth knowledge of securities laws and regulations • Familiarity with FINRA rules • Strong analytical and problem-solving skills • Excellent communication skills, both verbal and written • Leadership abilities and team management experience Responsibilities • Develop and implement compliance policies and procedures • Lead the broker-dealer Compliance team • Review, test, and modify policies to ensure regulatory compliance • Certify compliance with FINRA Rule 3130 annually • Maintain up-to-date knowledge of industry regulations and practices Qualifications • JD degree or equivalent legal qualification • Significant experience in a compliance role • Proven track record in managing compliance teams • Excellent understanding of securities law Education Requirements • Juris Doctor (JD) degree Education Requirements Credential Category • Doctoral degree in law (JD) Experience Requirements • Minimum of 7 years of experience in securities compliance or related field • Experience in leading compliance teams and developing compliance programs Why work in San Francisco, CA San Francisco is a vibrant city known for its innovation and diversity. The city offers a rich cultural landscape, with numerous opportunities for networking and professional growth in various sectors, particularly in finance and technology. Enjoying a beautiful coastline, iconic landmarks, and a thriving arts scene, San Francisco provides a high-quality lifestyle that balances professional ambitions with personal enjoyment. Apply tot his job