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Chief Compliance Officer Jobs

Company

Hamlyn Williams
Address Florida, United States
Employment type FULL_TIME
Salary
Category Banking,Financial Services
Expires 2023-07-01
Posted at 11 months ago
Job Description

A Fintech brokerage firm client of ours is searching for a Chief Compliance Officer of their brand new FCM function.


This candidate MUST be located in or willing to locate to the Florida area.


Responsibilities

  • Oversee the management of all compliance related issues
  • Lead the FCM Global Compliance Team
  • Lead risk assessments and implement compliance monitoring and testing program
  • Prepare and present regulatory reports, annual compliance testing and remediation reports to senior management and the Board of Directors as appropriate
  • Serve as the lead to all regulatory inquiries, including state, federal, and international. Understand evolving regulatory landscape and requirements for FinCEN, SEC, OCC, CFTC, NFA and others
  • Manage the engagement of third-party firms, performing any policies and procedural reviews and audits Evaluate risk-mitigation vendor capabilities including establishing vendor solution performance objectives
  • Become a dedicated resource to our business and product, with a focus on driving regulatory strategy and engagement


Requirements

  • Former regulatory experience from the NFA or CFTC
  • 10+ years of regulatory compliance experience
  • Deep understanding of futures compliance
  • Must be located in the Florida area


If this opportunity interests you, please get in touch or apply below: [email protected]