SVP, Chief Compliance Officer
About the Company
Real-time marketplace for trading financial instruments
Industry
Financial Services
Type
Subsidiary of a Public Company
Founded
1973
Employees
1001-5000
Categories
Specialties
Business Classifications
About the Role
The Company is seeking an SVP, Chief Compliance Officer to lead the establishment, implementation, and maintenance of a comprehensive compliance program. The successful candidate will be responsible for ensuring the organization's adherence to securities laws, regulations, and industry standards, while fostering a culture of compliance and ethical conduct. This executive will provide strategic leadership, manage the compliance function, and oversee the development of policies, procedures, and controls. The role requires a deep understanding of financial regulations, strong leadership abilities, and the capacity to translate complex regulatory requirements into practical business solutions. The Chief Compliance Officer will also be a key member of the executive team, contributing to organizational strategy and safeguarding the company's reputation and operational integrity. Applicants for the Chief Compliance Officer position at the company should have a minimum of 15 years' experience in a senior leadership compliance role, with a Bachelor's degree required and an advanced or law degree preferred. The ideal candidate will have proven leadership skills, a comprehensive understanding of financial services regulations, and experience in creating training programs to promote company-wide awareness of compliance. Strong writing, communication, and analytical skills are essential, as is the ability to work independently and as part of a team. The role demands a professional with a strong grasp of risk management principles, the ability to manage multiple tasks, and a commitment to meeting deadlines. The Chief Compliance Officer will also be expected to build strong relationships with stakeholders and serve as the primary liaison with regulatory authorities.
Hiring Manager Title
EVP, Gen Counsel & Corporate Secretary
Travel Percent
Less than 10%
Functions
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