Chief Compliance Officer (CCO)

The Company is seeking a Chief Compliance Officer to lead the regulatory and supervisory framework for a retail brokerage. The role includes managing regulatory examinations, inquiries, and remediation; advising the board and executive leadership on compliance strategy and emerging risks; and overseeing trade surveillance, supervision, anti-money-laundering programs, and financial-crime controls. The CCO will review retail communications and disclosures, support digital-asset initiatives, and develop risk assessments, testing, and technology-enabled monitoring. The position also involves partnering across business functions and building a high-performing compliance team. Candidates should have at least 12 years of progressive broker-dealer compliance experience, including prior service as a CCO or Deputy CCO at a registered broker-dealer, and sustained experience leading regulatory examinations and remediation. Deep knowledge of securities regulations, supervisory requirements, and AML/BSA is required. Active Series 7, 24, 53, and 65 or 66 licenses are required; Series 14 is an advantage. Candidates should also bring executive presence and confidence advising and presenting to a board.