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CCO for Start-Up Broker-Dealer

this job appointment has expired

Location United States,

Remuneration competitive

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 York


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.

Key Requirements

- 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

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