Chief Compliance Officer, Broker Dealers

External Description Str : The Chief Compliance Officer, Broker Dealers is responsible for implementation and maintenance of the tax channel compliance programs (multiple broker-dealers with combined total of 4500+ financial advisors). They are also responsible for ensuring the Firm’s policies and procedures are followed regarding the products, processes, procedures and services offered. What you will do: - Draft and maintain policies and procedures to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure that advisors’ operations are conducted in compliance with applicable policies and procedures - Oversee compliance risk assessments and manage the department’s testing and monitoring program in accordance with regulatory expectations and best practices. - Review, revise and test compliance programs in accordance with 3012/3130 standards. - Develop and implement enterprise level risk mitigation plans that both protect the firm’s reputation and financial standing while allowing the business to grow. - Provide recommendations to the business regarding the implementation of new rules and regulations. - Oversee and manage the compliance teams for multiple broker-dealers. - Work with senior management, legal department, human resources, Regional Directors, Registered Representatives and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations. - Be a subject matter expert when dealing directly with advisors on a variety of compliance, regulatory and business/industry topics. - Partner effectively with financial advisors along with internal departments such as Operations, Information Technology, Finance, Supervision and Business Departments to advance initiative. - Represent the broker-dealers and CFG during industry meetings. Travel Requirements: Travel up to 30% What you need to have: - Bachelor’s degree in legal studies, business, or related field - Minimum 15 years of experience in Broker Dealer Compliance - Minimum 10 years of experience managing a large team comprised of multiple layers - Broad exposure to key functional areas of product due diligence, recruiting and retention - FINRA Series 7, 24 - Thorough knowledge of the broker-dealer business from a product, corporate governance, compliance and administrative perspective - Strong knowledge of FINRA and SEC rules and regulations, interpretive guidance and industry best practices - Excellent ability to interpret and communicate regulatory guidance - Ability to review and analyze cases from a practical, policy and regulatory framework - Ability to identify solutions to problems when there is a disagreement between parties - Ability to interact with and influence members of senior management and a highly entrepreneurial and independent minded sales force - Excellent written and verbal communication - Good analytical skills and attention to detail - Knowledge and ability to use MS office including Excel, Word, PowerPoint, and Salesforce (preferrable) - Ability to work well under pressure and under tight deadlines - Ability to grow, coach and mentor compliance team What is nice to have: - Advanced degree - Previous experience as a CCO in Financial Services Compensation Range: The base annual salary range for this role is $215,000 to $230,000 plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. #LI-Hybrid