Job Description

Position Overview

We are seeking a seasoned Chief Compliance Officer with deep expertise in U.S. securities regulations to lead and enhance our company’s compliance framework. This role is critical in ensuring that all business activities adhere to applicable laws and regulatory requirements, mitigating compliance risks while supporting business growth and integrity.

Key Responsibilities

• Develop, implement, and continuously refine comprehensive compliance policies and procedures aligned with evolving regulatory standards.
• Lead ongoing compliance reviews, including monitoring personal securities transactions, investment restrictions, vendor management, and gifts and entertainment compliance.
• Serve as the primary liaison with regulatory bodies to ensure timely and accurate submission of required reports and filings.
• Identify, assess, and proactively mitigate compliance risks, including preventing insider trading and misuse of material non-public information.
• Provide expert compliance guidance and support to business teams, clients, and partners, addressing inquiries and resolving complex issues.
• Design and deliver regular compliance training programs to foster a strong compliance culture across the organization.
• Collaborate closely with internal and external audit teams to validate the effectiveness of compliance controls and processes.

Qualifications

• Bachelor’s degree or higher in Law, Finance, Accounting, or related disciplines.
• 3 to 5 years of compliance experience within financial services, securities brokerage, or related sectors; U.S. market experience is highly preferred.
• Strong knowledge of U.S. regulatory frameworks, including SEC, CFTC, and FinCEN regulations.
• Proven expertise in anti-money laundering (AML), counter-terrorism financing (CTF), and compliance risk management.
• Excellent communication skills with the ability to collaborate effectively across cross-functional teams and provide clear compliance advice.
• Strong analytical and problem-solving skills to independently manage complex compliance challenges.
• High ethical standards, integrity, and passion for compliance excellence.

Preferred Qualifications

• FINRA-certified securities broker license or equivalent certification.
• Familiarity with compliance requirements in securities brokerage, asset management, or financial payment industries is a plus.

What We Offer

• Competitive salary and benefits package.
• Opportunities for career growth and professional development.
• Flexible working arrangements.
• A supportive, innovative, and inclusive work environment.

Job Tags

Similar Jobs