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Job

CCO Clearing & Broker Dealer

  • Location

    New York

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $175,000 - $200,000 base

  • Contact:

    Thomas Byrne

  • Contact email:

    t.byrne@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Job ref:

    CCO

  • Published:

    about 1 month ago

  • Expiry date:

    2021-11-17

  • Startdate:

    ASAP

We're excited to be partnered with a growing Market Maker and Clearing firm as they look to bring in a new CCO as part of their expansion.

What you'll be doing:

  • Work closely with senior leadership to build out the compliance program for their newly created Clearing firm 
  • This will involve all aspects of compliance, policies and procedures, trade surveillance and AML build out
  • Being regulated by FINRA, SEC and the OCC you will be charged with leading on all regulatory examinations and both internal and external audits

What they're looking for:

  • Bachelors degree level educated
  • 7+ years experience within a compliance position within a Broker-Dealer, Market maker or Clearing Firm 
  • Series 7,24 and 63  registereed
  • Legal Degree is beneficial but not needed

For more information get in touch at t.byrne@hamlynwilliams.com 

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