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 regulatory strategy. The role includes designing and overseeing the supervisory framework, serving as the primary liaison with regulators, and building and scaling the compliance function. The CCO will lead compliance teams and manage regulatory examinations and enforcement matters at a senior level. 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 leading compliance teams, ideally across surveillance, anti-money laundering, and supervisory functions, is required. Direct experience with a regulatory or self-regulatory body is valued, as is prior experience as a CCO, Deputy CCO, or Head of Compliance. Series 7 and Series 24 licenses are required, and Series 3 is required or must be obtainable shortly after starting.