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 successful candidate will lead teams across areas such as surveillance, anti-money laundering, and supervision, while helping guide the organization’s growth into new 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. A record of building and leading compliance teams and managing regulatory examinations and enforcement matters at a senior level is required. Direct experience with a regulatory or self-regulatory body is an advantage, and prior experience as a Chief Compliance Officer, Deputy Chief Compliance Officer, or Head of Compliance is preferred. Series 7 and Series 24 licenses are required, and Series 3 is required or must be obtained shortly after starting.