Chief Compliance Officer Job at Social Capital Resources, Tampa, FL

  • Social Capital Resources
  • Tampa, FL

Job Description

Rapidly growing Financial Services firm based in Tampa, Florida is seeking a Chief Compliance Officer for a full-time position!

Responsibilities:

  • Responsible for running and managing a compliance program for U.S. FINRA-registered broker-dealer.
  • Tasked with establishing, maintaining, and enhancing the firm’s broker-dealer compliance framework, ensuring full compliance with applicable SEC and FINRA rules.
  • Advise senior management on regulatory developments, compliance risks, and control enhancements
  • Manage an existing team of compliance professionals and continue building out
  • Lead regulatory examinations, inquiries, and ongoing engagement with FINRA and the SEC
  • Build and manage a high-performing compliance team supporting the broker-dealer

Qualifications:

  • Bachelor's Degree
  • 10+ years of relevant compliance experience, specifically in a U.S. FINRA-registered broker-dealer.
  • Prior experience in a fin-tech based firm is a plus
  • Previous management experience is a must
  • Strong and established experience working directly with the various regulators

Job Tags

Full time

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