Job Summary:

We are seeking a Chief Compliance Officer with experience working within the operations of an independent, dually registered Broker Dealer and Registered Investment Advisor. The candidate will be responsible for supervising the daily compliance and operations of the firm, ensuring adherence to all security regulations and requirements, and serving as the direct contact between regulatory bodies, auditors, and executive management.

Major Job Functions:

Ensure the firm operates in accordance with its Working Supervisory Procedures.
Maintain required registrations and continuing education for the firm and financial advisors.
Act as the direct contact with the clearing firm, vendors, and consultants.
Stay updated on regulatory changes and industry best practices; create policies and procedures for new rules and regulations.
Serve as the point of contact for the firm's executive management team.
Conduct regular audits to identify potential compliance issues.
Facilitate daily operations of the firm in conjunction with compliance responsibilities.

Requirements:

Bachelor's degree in Business Administration, Finance, or related field; Master's degree preferred.
Proven experience in a compliance role, preferably in a financial institution.
Strong knowledge of FINRA, SEC, and State rules and regulations.
Ability to conduct internal audits and oversee regulatory reporting.
Excellent understanding of compliance concepts and risk management practices.
FINRA Series Exams (FINRA Principle License preferred).

Joining our team as the Chief Compliance Officer offers an exciting opportunity to lead our organization in maintaining the highest standards of compliance. If you are a detail-oriented professional with a passion for ensuring regulatory adherence, we invite you to apply for this key role.

Job Type: Full-time

Pay: $60,000.00 - $120,000.00 per year

Benefits:

Dental insurance
Employee discount
Health insurance
Paid time off
Professional development assistance
Retirement plan
Vision insurance

Physical Setting:

Office

Schedule:

8 hour shift
Monday to Friday
No weekends

Ability to Commute:

Seven Fields, PA 16046 (Required)

Ability to Relocate:

Seven Fields, PA 16046: Relocate before starting work (Required)

Work Location: In person

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E.E. Powell & Company, Inc. jobs

Chief Compliance Officer