Chief Compliance Officer (CCO)

The Company is seeking a Chief Compliance Officer to lead compliance for its broker-dealer entities and serve as the principal liaison with regulators. The role will shape regulatory strategy and design, build, and scale the firm’s supervisory framework and compliance function. Responsibilities include overseeing compliance teams and programs across areas such as surveillance, anti-money laundering, and supervision, as well as managing regulatory examinations and enforcement matters. The CCO will also contribute to executive-level strategic decision-making. Candidates should have at least 10 years of broker-dealer compliance experience in regulated financial services, including hands-on experience in institutional brokerage, trading, clearing, prime brokerage, or market access. A record of building or significantly scaling a compliance function and managing regulatory examinations and enforcement matters at a senior level is required. Direct experience with a regulatory or self-regulatory body is valued, and prior experience as a CCO, Deputy CCO, 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.