Chief Compliance Officer - FinTech - Chicago
Chief Compliance Officer // Chicago, IL
A growing FinTech firm is looking for an experienced Chief Compliance Officer to join their team. This firm focuses on the Structured Note marketplace. They have created a platform that uses a blind auction and post-trade lifecycle management process to guarantee the best pricing and simplify the tracking process. They've recently secured Series B funding and are looking to democratize the marketplace.
As Chief Compliance Officer, you'll build out the current client base and develop the process of acquiring new broker-dealer businesses. The firm is looking for an experienced professional who deeply understands rules and regulations pertaining to Structured Products, Fixed Income Issuance, and Options and Equity securities.
- Create and execute on a compliance program to ensure controls and supervision meet regulatory requirements
- Identify SEC, FINRA, and self-regulatory rules that comply with appropriate laws
- Implement AML and KYC policies for existing and new broker-dealers
- Act as POC for external legal counsel
- Proactively detect compliance issues by auditing systems and activities
- Review new counterparty relationships, personal brokerage transactions, and account applications to ensure compliance
- 8+ years' experience with a FINRA registered broker-dealer in a compliance-related role
- Series 7, 63, and 24 examinations passed
- BS/BA in finance, business administration, or related field; JD or BS/BA in law is a plus
- Strong working knowledge of Fixed Income regulations; Structure Note experience is a huge plus
- Experience implementing KYC and AML policies
- Understanding of Reg S and 144 issuances
This is a direct-hire opportunity in Chicago, IL offering a $120K base salary.
If interested, please apply with an updated resume or reach out to Emily at Huxley Associates.
Sthree US is acting as an Employment Agency in relation to this vacancy.