FutureRecruit
Chief Compliance Officer (Hybrid)- Glenview, IL
FutureRecruit, Glenview, Illinois, United States, 60025
Chief Compliance Officer (Hybrid)- Full Time
Location: Glenview, IL, 60025What 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!
Location: Glenview, IL, 60025What 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!