Chief Compliance Officer
Company: International Erosion Control Association
Location: Washington
Posted on: November 20, 2024
Job Description:
Compass Point is a premier independent, full-service investment
firm providing a wide range of investment banking, research, and
sales and trading services to our clients. We serve as an expert
advisor and resource to corporate clients and institutional asset
managers including mutual funds, hedge funds, and family offices.We
are currently seeking a highly motivated and experienced Chief
Compliance Officer to join our team. The successful candidate will
be responsible for leading all components of the compliance program
of the broker-dealer. Responsibilities include interfacing with
regulatory agencies and general compliance with applicable rules
and regulations. The successful candidate will have a thorough
understanding of regulatory requirements impacting trading,
research, and investment banking.Responsibilities
- Identify, implement, and maintain policy and procedures to
ensure compliance programs are effective and compliant with
regulations.
- Oversee broker-dealer compliance programs including WSP's,
training programs, AML compliance, licensing, annual testing, and
continuing education programs.
- Serve as the primary contact for regulatory inquiries and
exams.
- Maintain Firm's Watch and Restricted Lists.
- Review equity and policy research reports for compliance.
- Provide advice and act as Firm's subject matter expert on
complex regulatory issues and compliance rules and procedures for
Investment Banking, Research, and Trading.
- Maintain a thorough understanding of securities rules and
regulations through ongoing educational training.
- Work closely across all departments ensuring compliance with
internal policies.Qualifications
- Bachelor's degree or higher education is required.
- Series 7 and 24 are required.
- A minimum of 10+ years working in a compliance role supporting
a broker-dealer.
- Demonstrated knowledge of rules, regulations, and best
practices related to broker-dealer operations.
- Strong written and verbal communication skills.
- Ability to interact with a diverse group of colleagues
representing various business lines.
- Candidate must be authorized to work permanently in the U.S.
Compass Point does not offer sponsorship for work visas.The ideal
candidate will quickly integrate and become a meaningful
contributor to the team.Compass Point is committed to creating a
diverse and inclusive environment and is proud to be an equal
opportunity employer. All qualified applicants will receive
consideration for employment without regard to race, religion,
sexual orientation, gender identity, national origin, protected
veteran status, or disability status.YOU MUST SUBMIT A RESUM-- TO
BE CONSIDERED FOR THIS POSITION. NO PHONE CALLS. NO EMAILS.
#J-18808-Ljbffr
Keywords: International Erosion Control Association, Germantown , Chief Compliance Officer, Executive , Washington, Maryland
Didn't find what you're looking for? Search again!
Loading more jobs...