Asst. Chief Compliance Officer, Broker-Dealer

Asst. Chief Compliance Officer, Broker-Dealer

Job# 2792

Location:  IA

Education Requirements:  Bachelor’s degree.

Other Requirements:  In addition to Education Requirements, Other Requirements for Compliance Officer Broker Dealers include:

  • FINRA Series 7, 24, and 66 licenses required.
  • CAMS designation is preferred.
  • 7 to 10 years of business experience in financial services serving in Compliance and regulatory role for both a broker-dealer and RIA is required.
  • Successful candidate will be self-motivated, able to work independently, and have proven ability to drive results through effective collaboration across multiple areas.
  • Also, must have broad working knowledge of regulatory landscape for broker-dealers, registered investment advisors.
  • Further, must have wide range of experience with investment products and the financial services industry.

Salary Range:  $85k to $105k

Description:  This is a broker dealer compliance officer job description with listing or activities and responsibilities for this very strategic job.  Our Client, a family of financial services companies including two subsidiary broker-dealer firms servicing financial advisors across the U.S. has an immediate opening for an Assistant Chief Compliance Officer.  The Assistant Chief Compliance Officer will have compliance responsibilities within our Client’s Broker Dealers and the Registered Investment Advisors and will manage the Firm’s anti-money laundering program.  In addition to the above description, duties and responsibilities include:

  • Importantly will provide day to day oversight, mentoring, and development of Compliance Department.
  • Also, this person will assist Chief Compliance Officer in monitoring, reviewing, and enforcing policies and procedures to comply with federal and state laws and regulations of the SEC and FINRA.
  • Further more, develop, implement, and administer the firm’s Anti-Money Laundering Program.
  • Assist with regulatory exams and inquiries.
  • Assist with review of Written Supervisory Procedures and other guidance provided to registered representatives and home office personnel.
  • Lastly, will perform other duties as assigned.

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