CCO, Retail Broker Dealer

Full Time

International Banking Client

Office Status: Hybrid

Job Description

Private Client/Retail brokerage firm seeking results driven Chief Compliance Officer to be the owner of the firm’s compliance program. Must be an organized, self starter capable of effecting change, managing projects and meeting deadlines while maintaining positive working relationships with other business stakeholders.


  • Generally remain abreast of regulatory issues, Notices to Members, and other developments, evaluate the impact to the firm, and collaborates with the Operations on implementation and risk mitigation efforts.
  • Evaluate existing compliance programs and processes for effectiveness
  • Research and address regulatory compliance issues and inquiries.
  • Maintain Written Supervisory Procedures and ensure the firm’s adherence to these procedures.
  • Maintain AML Policy and coordinate independent testing of AML program.
  • Oversee the Supervisory System designed to prevent and detect violations of federal securities laws and FINRA regulations and prepare report on Supervisory Controls annually.
  • Perform annual review of OSJ and any branch offices.
  • Draft continuing education plan, including needs analysis, and coordinate delivery of training and annual compliance meetings.
  • Monitor Communications with the Public, i.e. e-mail, correspondence, third party research, etc.Monitor employee trading accounts.
  • Monitor employee gifts, received and given;Review and maintain registered representative files, including Form U4, pre-dispute arbitration forms, fingerprint cards
  • Maintain the following filesOrganization chart, list of registered representatives, recently terminated representatives, Clearing Agreement, Services and/or Expense Sharing Agreements, Fidelity Bond file, SIPC file
  • FINRA Files, including Membership Agreement, current Form BD and amendments, FINRA correspondence, Customer Complaint Files
  • Registered Representative Files, including Form U4, pre-dispute arbitration forms, fingerprint cards;RR Attestation Files, including written supervisory procedures, AML, etc;RR Disclosure Files, including personal trading files, outside business activity files;Customer Account Files, including new account documents, anti-money laundering checks, authorized persons, instructions, privacy notices;Advertising files; andSelected transaction files.
  • Ensure proper Web CRD Administration, including
  • o Filing electronic Forms including U4, U5, BD, BR and amendments
  • o Advising on relevant CRD requirements
  • o Performing required quarterly review of WEB CRD and the NASD Contact System
  • o Monitoring Regulatory Element Training requirements and advising registered personnel accordingly
  • o Facilitating examination scheduling, fingerprint cards, and other CRD related administrative requirements
  • o Assisting with Blue Sky filings.


  • Undergraduate Degree
  • 10 or more years of compliance experience.
  • Spanish Speaking, preferred.
  • CERTIFICATES AND LICENSES:Series 7, 63, 24, 14 required  Series 4, 53, preferred.
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