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Job

Chief Compliance Officer - Clearing

  • Location

    Remote (Preferably LA)

  • Sector:

    Financial Services and Banking

  • Job type:

    Permanent

  • Salary:

    $100,000 - $200,000

  • Contact:

    Sparsh Didwania

  • Contact email:

    s.didwania@hamlynwilliams.com

  • Salary high:

    0

  • Salary low:

    0

  • Published:

    about 1 month ago

  • Expiry date:

    2021-12-31

  • Startdate:

    ASAP

We have partnered with an exciting FinTech that is looking for a Chief Compliance Officer. You will report to the Chief Executive Officer and work on the most interesting and impactful projects in the clearing space.

Responsibilities

  • Develop, maintain, and manage the Firm’s compliance program pursuant to FINRA and SEC rules and regulations
  • Conduct in daily, bi-monthly and monthly FinCEN monitoring and OFAC screening
  • Assist surveillance team with trade surveillance efforts, tracking and follow-up of escalated matters; working knowledge of OATS is a plus
  • Assist in responding to regulatory, internal and external inquiries
  • Assist with client onboarding processing; understanding of securities laws related to records retention a plus
  • Participate in the development and delivery of the in-person annual compliance meeting
  • Participate in various data protection, privacy and information security initiatives

Requirements

  • Three (3) to five (5) years’ experience as a compliance professional supporting the compliance function at a FINRA member firm; knowledge of equity trading and OATS a plus
  • Highly proficient with Microsoft Word, Excel and Outlook and generally skilled with learning and administering technological applications
  • Independent self-starter with a positive, can-do attitude; ability to engage proactively
  • Highly organized
  • A clean FINRA U4 and background is required for this position
  • FINRA Series 24 Required

You can apply by:

  • Selecting the “Apply” button below or by contacting me directly.

    As a Fintech Compliance & Financial Crime market specialist, I am partnered with a myriad of large and small Fintech Companies across the country. If this role is of interest to you, or if you are interested in exploring other opportunities within the market, you are welcome to reach out directly to:

    Sparsh Didwania, s.didwania@hamlynwilliams.com or (619) 332-6398