Chief Compliance Officer, Broker-Dealer
: Job Details :

Our client is a leading quantitative investment firm looking to find a Chief Compliance Officer for the buildout of their Clearing Broker-Dealer requirements.

Primary Accountabilities / Responsibilities

• Designing and implementing a comprehensive broker-dealer compliance program, protecting the firm from regulatory risk.
• Managing firm s relationships with the SEC and FINRA.
• Ensuring compliance controls and governance frameworks for the firm s clearing business and for new business authorizations.
• Identifying potential areas of compliance vulnerability and risk, escalating appropriately, and assisting with developing and/or implementing corrective action.
• Monitor, analyze and assess the impact of new rules and regulations on the firm s policies and procedures and working with stakeholders across the firm to implement regulatory change.

Knowledge, Skills & Abilities

• Thorough understanding of FICC, OCC, MBSCC, SEC, FINRA.
• U.S. broker-dealer control requirements.
• Experience in working within a firm that provides clearing is highly desirable.

Due to the high volume of applications, if you haven t heard back from the team on this role, unfortunately your application has been unsuccessful. If your profile matches any of our other opportunities, one of our consultants will be in touch.

About Simmons & Hanbury

Simmons & Hanbury is a specialist executive search firm that sources and secures the best human capital and future leaders for our clients. We provide an integrated international service to support our clients across the globe, from our group headquarters based in the heart of the City of London. We support some of the most prestigious organisation's in the world, across financial services, commerce & industry, and professional services.