What are the responsibilities and job description for the Chief Compliance Officer position at SQN Global?
Company Description
SQN Global, derived from the Latin phrase “Sine Qua Non,” serves as an indispensable partner for financial services institutions navigating complex regulatory environments. As a trusted outsourced provider, SQN Global delivers cost-effective and tailored compliance, regulatory consulting, financial reporting, and business operations services to meet the evolving needs of the industry. Based on deep expertise and an extensive list of licensing capabilities, the team is uniquely equipped to assist firms with compliance across various regulatory roles. SQN Global also offers additional services, including regulatory legal advice, business tax preparation, financial audits, and cryptocurrency compliance consulting, ensuring comprehensive support for financial institutions worldwide.
Role Description
This is a full-time remote Chief Compliance Officer position with strong knowledge of the FinTech space.
The Chief Compliance Officer will oversee and manage all aspects of the organization's compliance programs, ensuring adherence to regulatory requirements and industry standards. Key responsibilities include developing and implementing compliance policies, monitoring compliance processes, conducting audits, and providing strategic guidance on regulatory matters. The role also involves maintaining strong relationships with regulators, identifying risks, and ensuring that all operations comply with applicable laws and regulations.
Qualifications
- Extensive knowledge and experience in regulatory compliance, tailored to financial services, including expertise in FINRA, SEC, and other related regulations.
- Proficiency in developing and implementing compliance policies, conducting audits, and overseeing risk management initiatives.
- Strong leadership and communication skills to effectively liaise with regulatory bodies, internal teams, and external partners.
- Relevant certifications, such as Series 24, 55/57, 66, 79, or 99, are preferred, with a solid understanding of their applications to financial and operational compliance.
- Proven ability to assess and address complex compliance challenges in an evolving regulatory environment.
- A bachelor’s degree in finance, law, business administration, or a related field is required.
- Demonstrated experience in providing regulatory or financial consulting services is a strong advantage.
Send your resume along with your salary requirements to Jack Faller - Director-Chief of Staff
jack.faller@sqn-global.com
SQN Global is a equal opportunity employer