Chief Compliance Officer

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Chief Compliance Officer
The candidate administers a formal compliance program, including updating procedures for enterprise compliance strategy, structure and processes, developing employee training, investigating issues, and maintaining clear records for compliance and litigation. Manages the process for registered Brokerage and RIA representative licensing, amends the Brokerage’s Form BD/ADV as necessary, and provides pre-hire documentation to SSG Management. Supports the OSJ surveillance program of employee brokerage accounts, daily blotter review, and review of outside employment/activities. Administers annual branch and OSJ audits, annual compliance meetings and training for new hires/registered representatives. Supervises the handling of all written customer complaints, investigates and makes recommendations regarding the appropriate course of action and files required documentation with FINRA. Maintains Written Supervisory Procedures, and BD/RIA Compliance Manuals. Coordinates AML Policy and Procedure updates with **MEMBERS ONLY**SIGN UP NOW***.’s procedural updates. Modifies risk reviews and ethics policies in response to regulatory requirements. Monitors employee trading policies in light of Broker-Dealer, MSRB, RIA and Bank Regulations. Coordinates with SSG Management to provide responses to regulators, government agencies, and law enforcement inquiries/ audits as the principal point of contact. Thereafter, documents and files appropriate material as required by regulation. Reports compliance updates and material violations to SSG/**MEMBERS ONLY**SIGN UP NOW***. Senior Management and Board of Directors in response to regulatory requirements. Should have a bachelor's in accounting, finance, business or law degree and 10 years of experience in the compliance department of a financial institution with brokerage and management experience. Must have excellent written and verbal communication skills. Required: Series 7, 24, 63. Series 65 or 66 is a plus.

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