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Open nowPosted 792 days ago

Chief Compliance Officer (Hybrid)- Glenview, IL

FutureRecruit326 open roles

Where
Glenview, Illinois, United States
Work mode
Hybrid
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Your applicationOpen nowChief Compliance Officer (Hybrid)- Glenview, ILFutureRecruit · Glenview, Illinois, United States

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The clock on this job

Early applications get read.

12.3% of postings close within 7 days. Measured by our own scanner across the market.

Share of postings closed within
  1. 2.1%1 day
  2. 4.5%3 days
  3. 12.3%7 days
  4. 19.3%14 days
  5. 35.6%30 days
  6. 58.1%60 days
This job: posted 792 days ago

The posting

Location: Glenview,Illinois,United States

Chief Compliance Officer (Hybrid)- Full Time

Location: Glenview, IL, 60025

What you will be doing:

  • Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
  • Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
  • Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
  • Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
  • Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
  • Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
  • Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
  • Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.

Experience you will need:

  • At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.
  • Self-directed brokerage experience desired.
  • Series 7, 24, and 65/66 licenses required.
  • A Bachelor's Degree is essential, and CAMS certification is preferred.
  • Exceptional organizational, analytical, and problem-solving abilities.
  • Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
  • A proven ability to multitask and thrive in a fast-paced environment.
  • Strong team player with excellent coaching, feedback, and listening skills.
  • Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

Top Reasons to work with our client:

  • Innovative trading platform!
  • Supportive team culture!
  • Career advancement opportunities!
  • Focus on professional growth!
  • Competitive salary and benefits!
  • Work with industry experts!
  • Cutting-edge technology!
  • Client-centric approach!
  • Dynamic work environment!
  • Strong reputation in finance!

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