CCO for Start-Up Broker-Dealer
this job appointment has expired
Location United States,
Employment type perm
Updated 14th Sep 2017
Company Selby Jennings
Contact Not disclosed
Email click here
CCO for Start-Up Broker-Dealer (Series 7 & 24) - New
A start up broker dealer is looking to add a CCO to their growing function who will work directly with the financial regulators in ensuring all the approvals processes runs smoothly. After that, they will be responsible for driving the compliance framework.
The firm will focus on electronic trading across primarily fixed income securities. Prior experience within this area is not a pre-requisite but will obviously be advantageous.
- Series 7 & 24 licenses
- Minimum of 2 years working in a Compliance function
- Strong communication skills
- Familiarity with financial regulations affecting the Broker-Dealer space (SEC / FINRA)
- Confident in liaising with board level personnel