Futurerecruit.net
Chief Compliance Officer (Hybrid)- Glenview, IL
Futurerecruit.net, Glenview, Illinois, United States, 60025
Chief Compliance Officer (Hybrid)-Full Time
Location: Glenview, IL, 60025
What you will be doing:
Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.
Experience you will need:
At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
Self-directed brokerage experience desired.
Series 7, 24, and 65/66 licenses required.
A Bachelor's Degree is essential, and CAMS certification is preferred.
Exceptional organizational, analytical, and problem-solving abilities.
Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
A proven ability to multitask and thrive in a fast-paced environment.
Strong team player with excellent coaching, feedback, and listening skills.
Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Top Reasons to work with our client:
Innovative trading platform!
Supportive team culture!
Career advancement opportunities!
Focus on professional growth!
Competitive salary and benefits!
Work with industry experts!
Cutting-edge technology!
Client-centric approach!
Dynamic work environment!
Strong reputation in finance!
#J-18808-Ljbffr
Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.
Experience you will need:
At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
Self-directed brokerage experience desired.
Series 7, 24, and 65/66 licenses required.
A Bachelor's Degree is essential, and CAMS certification is preferred.
Exceptional organizational, analytical, and problem-solving abilities.
Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
A proven ability to multitask and thrive in a fast-paced environment.
Strong team player with excellent coaching, feedback, and listening skills.
Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Top Reasons to work with our client:
Innovative trading platform!
Supportive team culture!
Career advancement opportunities!
Focus on professional growth!
Competitive salary and benefits!
Work with industry experts!
Cutting-edge technology!
Client-centric approach!
Dynamic work environment!
Strong reputation in finance!
#J-18808-Ljbffr