Chief Compliance Officer (CCO)

The Company is seeking a Chief Compliance Officer to lead its regulatory compliance function and oversee the broker-dealer compliance program. Responsibilities include setting compliance strategy, advising executive leadership, and maintaining effective controls across trading, supervision, and business operations. The role will serve as the primary contact for regulatory examinations, inquiries, audits, and supervisory reviews, while overseeing written procedures, policies, internal controls, trade surveillance, and transaction monitoring. Additional duties include managing anti-money-laundering activities, regulatory filings, employee training, branch inspections, and remediation of identified risks. Candidates should have at least 10 years of financial services compliance experience, preferably in a broker-dealer environment, and active Series 7 and Series 24 licenses. A bachelor’s degree in finance, business, law, or a related field—or equivalent professional experience—is required. Applicants should bring comprehensive knowledge of securities regulations and supervisory requirements, along with experience in AML, surveillance, regulatory monitoring, examinations, audits, and reporting. Strong leadership, communication, analytical, and organizational skills are essential; senior broker-dealer compliance leadership, sales and trading compliance, branch supervision, and Spanish proficiency are preferred.