This listing was posted on The Resumator.
Chief Compliance Officer
Location:
Glenview, IL
Description:
Chief Compliance Officer (CCO) Location: Glenview, IL | Orlando, FL | Miami, FL Company: Regal Securities, Inc. About Us: Regal Securities, Inc., is a well-respected investment brokerage and Registered Investment Advisory firm in the Chicago area. With a firm commitment to integrity and innovation, we’re expanding our team and looking for a dynamic Chief Compliance Officer (CCO) to lead our compliance efforts. Whether you’re based in our Glenview, IL headquarters or our vibrant offices in Orlando or Miami, FL, you’ll be at the heart of our mission to uphold the highest standards in regulatory compliance. Position Overview: Are you ready to make a significant impact in a fast-paced, growth-oriented company? As our Chief Compliance Officer, you’ll drive our compliance strategy, ensure regulatory adherence, and lead a team of top-notch professionals. This is your chance to shape the future of compliance in a firm that values your expertise and innovative spirit. What You'll Do: Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement. Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines. Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities. Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed. Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence. Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews, maintaining our stellar compliance record. Drive Efficiency: Oversee and enhance our supervisory systems for branch and home offices, streamlining operations and reducing risk. Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes. Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures and driving continuous improvement. What You'll Bring: Experience: At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations. Credentials: Series 7, 24, and 65/66 licenses required. A Bachelor’s Degree is essential, and CAMS certification is preferred. Skills: Exceptional organizational, analytical, and problem-solving abilities. Communication: Stellar written and verbal communication skills, with the ability to influence and engage at all levels. Adaptability: A proven ability to multitask and thrive in a fast-paced environment. Leadership: Strong team player with excellent coaching, feedback, and listening skills. Knowledge: Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products. Why Regal Securities? Innovative Environment: Thrive in a fast-paced, challenging setting where your contributions drive real impact. Growth Opportunities: Be a key player in our exciting national growth initiatives. Competitive Rewards: Enjoy an attractive salary, performance bonuses and a comprehensive benefits package. Professional Development: Access opportunities for continuous learning and career advancement. Inclusive Culture: Join a diverse, inclusive team that values innovation, collaboration, and your unique contributions. Ready to Lead and Innovate? If you’re a strategic thinker with a passion for compliance and a proven track record of success, we want to hear from you! Join Our Vision: Be part of an innovative firm where your leadership and expertise will shape the future. At Regal Securities, Inc., we believe in the power of innovation and the strength of a collaborative team. Apply today and make a difference with us! Regal Securities, Inc. is an equal opportunity employer. We are committed to creating a diverse environment for all employees. Powered by JazzHR
Company:
Regal Securities
Posted:
January 2 on The Resumator
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More About this Listing: Chief Compliance Officer
Chief Compliance Officer is a Executive Compliance Officer Job at Regal Securities located in Glenview IL. Find other listings like Chief Compliance Officer by searching Oodle for Executive Compliance Officer Jobs.
Chief Compliance Officer is a Executive Compliance Officer Job at Regal Securities located in Glenview IL. Find other listings like Chief Compliance Officer by searching Oodle for Executive Compliance Officer Jobs.