Chief Compliance Officer (Hybrid)- Glenview, IL
FutureRecruitChief Compliance Officer (Hybrid)- Full Time
Location: Glenview, IL, 60025
What you will be doing:
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Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
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Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
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Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
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Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
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Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
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Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
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Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
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Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.
Experience you will need:
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At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
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Self-directed brokerage experience desired.
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Series 7, 24, and 65/66 licenses required.
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A Bachelor's Degree is essential, and CAMS certification is preferred.
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Exceptional organizational, analytical, and problem-solving abilities.
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Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
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A proven ability to multitask and thrive in a fast-paced environment.
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Strong team player with excellent coaching, feedback, and listening skills.
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Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Top Reasons to work with our client:
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Innovative trading platform!
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Supportive team culture!
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Career advancement opportunities!
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Focus on professional growth!
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Competitive salary and benefits!
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Work with industry experts!
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Cutting-edge technology!
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Client-centric approach!
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Dynamic work environment!
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Strong reputation in finance!