Chief Compliance Officer
About the Company
Pioneering healthcare solutions provider for the agriculture industry
Industry
Hospital & Health Care
Type
Privately Held
Founded
1957
Employees
201-500
Specialties
About the Role
The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for the day-to-day supervision and activities of the broker-dealer/investment advisor, client accounts and investment administration, and broker and banking relationships. This role requires enhancing and maintaining written supervisory procedures, training, licensing, internal controls, and various regulatory responsibilities. The Chief Compliance Officer will also be involved in managing compliance, administration, and overall supervision of registered representatives and investment advisers, as well as conducting regulatory examinations and ensuring adherence to laws. Applicants for the Chief Compliance Officer position at the company should have a BA/BS and/or 10 years of relevant compliance experience, preferably at a regional or national retail brokerage firm. A proven track record in the field is preferred. The role demands excellent familiarity with the SEC and FINRA environment, as well as a clean U-4 with current Series 7, 24, 53, 99, and 66 licensing. The ideal candidate will have experience with commission vs. advisory business, knowledge of trading, and be familiar with OATS/CATS and TRACE reporting. High standards of integrity, ethical judgment, and excellent communication skills are essential. The Chief Compliance Officer will also be responsible for administrative tasks, including updating business continuity and cybersecurity plans, and serving as the Corporate Secretary for the financial services division.
Travel Percent
Less than 10%
Functions
...Analyst/ Associate: US Equity and Quantitative Strategy Research New York, New York To proceed with your application, you must... ...1st shift (United States of America) Hours Per Week: 40 Bank of America and its affiliates consider for employment and hire qualified...
...Yellowstone Landscape is now hiring a Landscape Designer! As a Landscape Designer, you will work closely with the Business Development and Operations teams to produce graphic presentations and proposal documents that will be formally delivered to Yellowstone Landscape'...
...Were an AI-first global tech company with 25+ years of engineering leadership, 2,000+ team members, and 500+ active projects powering... ...integration What You Bring ~7+ years of experience in software development with strong emphasis on .NET and full-stack engineering...
...Special Investigations Unit (Siu) Investigator Advance your career in insurance claims with Allied Universal Compliance and Investigation Services. Allied Universal Compliance and Investigation Services is the premier destination for a career in insurance claim investigation...
As a part of the Technology team, the NetSuite Administrator will play a key role in supporting and expanding Rotochoppers use of NetSuite within a collaborative, cloud-based digital ecosystem. This role partners close with business leaders to ensure systems align with...