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