Chief Compliance Officer - Broker Dealer
Chief Compliance Officer - Broker Dealer
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Salary Not Disclosed
1 Vacancy
Job Description
WHO WE ARE
ABOUT THIS ROLE
We are seeking an experienced and highly qualified Chief Compliance Officer (CCO) to oversee and ensure the compliance of our brokerdealer operations particularly in the context of our Alternative Trading System (ATS). Our successful candidate will be responsible for guiding the business on all relevant regulatory requirements managing compliance programs and ensuring adherence to SEC FINRA and SRO laws rules and regulations.
Key Responsibilities:
Compliance Oversight and Guidance
Provide comprehensive guidance to the business on SEC FINRA and SRO laws rules and regulations with a special emphasis on brokerdealer rules and regulations as well as those specific to alternative trading systems (ATS).
Stay wellinformed about the business and its operations to offer effective compliance oversight and allocate resources appropriately as the business evolves.
Regulatory Compliance and Reporting
Oversee communications with regulatory bodies including the SEC FINRA and other relevant authorities. Spearhead regulatory examinations and investigations related to both brokerdealer and ATS operations.
Ensure compliance with Regulation ATS including the filing of Form ATS Form ATS Amendments and quarterly transaction reports on Form ATSR. Manage the cessation of operations report when the ATS ceases operation.
Policy and Procedure Management
Supervise the upkeep of policies and procedures within the firms Written Supervisory Procedures (WSPs) and antimoney laundering (AML) program. Ensure these policies are aligned with regulatory requirements and best practices.
Risk Management and Audits
Conduct thorough risk assessments to identify potential compliance risks and vulnerabilities within the organization. Develop and implement mitigation strategies to address these risks.
Oversee internal and external audits thoroughly investigate potential compliance breaches and coordinate efforts related to audits reviews and examinations.
Compliance Program Development
Develop and maintain comprehensive compliance programs tailored to the organizations specific needs and risks. This includes licensing and registration AML and Know Your Customer (KYC) policies data privacy and security measures and consumer protection practices.
Define the necessary level of knowledge on existing and emerging regulatory compliance requirements across the organization and develop the annual compliance work plan.
Communication and Training
Provide guidance advice and training to all lines of business to improve their understanding of related laws and regulatory requirements. Interact with regulators on compliance issues and coordinate internal compliance review and monitoring activities.
Prepare and present clear and concise compliance reports to the Board of Directors and executive management.
Access and Fairness Standards
Ensure the ATS establishes written standards for granting access to trading on its system makes and keeps records of all grants denials or limitations of access and reports this information as required on Form ATSR.
YOUR EXPERIENCE
Minimum of 10 years of experience in brokerdealer trading compliance with specific experience related to ATS compliance highly preferred.
Bachelors degree in a relevant field.
FINRA 24 license required
Strong interpersonal oral and written communication skills. Ability to provide strategic direction and guidance on complex regulatory issues.
OUR REWARDS
We offer a robust package of employee perks and benefits including healthcare benefits (medical dental and vision EAP) competitive PTO 401k match parental leave and HSA contribution match. We also provide our employees with a paid subscription to the Calm app and offer generous external learning and tuition reimbursement benefits.
Bruce Markets LLC is proud to be an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race color religion sex (including pregnancy sexual orientation and gender identity) national origin age disability veteran status marital status or any other protected characteristic. Our hiring practices ensure that all qualified applicants receive fair consideration without regard to these characteristics.
Bruce Markets LLC is committed to creating an inclusive and accessible workplace for all candidates including those with disabilities. We are dedicated to ensuring equal employment opportunities and providing reasonable accommodations to qualified individuals with disabilities. If you require reasonable accommodations to participate in the application or interview process please contact our HR department at We will work with you to provide the necessary accommodations to ensure your full participation in our hiring process.
#Bruce
Required Experience:
Chief
Employment Type
Full-Time
