Chief Compliance Officer (CCO)

The Company is seeking a Chief Compliance Officer to lead compliance for its broker-dealer entities and shape the organization’s supervisory framework and regulatory strategy. The role includes serving as the primary liaison with regulators, managing regulatory examinations and enforcement matters, and building or scaling the compliance function. The CCO will provide executive-level guidance on compliance priorities and support the organization’s growth across markets and asset classes. Candidates should have at least 10 years of broker-dealer compliance experience in regulated financial services, with hands-on institutional brokerage experience in areas such as trading, clearing, prime brokerage, or market access. Experience with a regulatory or self-regulatory body is valued, as is a record of leading compliance teams across surveillance, anti-money laundering, and supervisory functions. Required qualifications include Series 7 and Series 24 licenses; Series 3 is also required or must be obtained shortly after starting. Prior experience as a CCO, Deputy CCO, or Head of Compliance is strongly preferred.