Interim CCO - Startup Stealth Broker Dealer - Fintech - Remote
Company: Infinity Consulting Solutions, Inc.
Location: Boston
Posted on: January 27, 2023
Job Description:
TITLE: Interim CCO - Startup Stealth Broker Dealer - Fintech -
Remote
Location: remote
Interim Chief Compliance Officer for a Newly Formed
Broker-Dealer
Our client is looking for candidates who are interested and
experienced in building and expanding a new broker-dealer. Our
ideal candidate should have an entrepreneurial spirit, possess
strong leadership skills and take a hands-on approach in his/her
everyday dealings within the organization.
- CCO shall have responsibility for:
- Evaluating the firm's regulatory and compliance risks;
- Designing and implementing a comprehensive broker-dealer
compliance program and supervisory structure that is reasonably
designed to ensure compliance with applicable laws, rules,
regulations and industry best practices;
- Drafting, implementing and maintaining all necessary written
supervisory procedures, compliance policies and controls;
- Interfacing with all regulatory bodies and self-regulatory
organizations, including SEC, Client, CFTC, NFA and state
securities regulators;
- Supervising regulatory examinations, inquiries, internal audit
reviews and related remediations;
- Conducting various internal testing/investigations, including
auditing and providing written reports to senior
management;
- Providing oversight of legal entities, branch offices, business
units and processes;
- Preparing and submitting all required regulatory
filings;
- Advising on AML/KYC and related matters including the review
and approval of wires and new accounts as well as the annual AML
independent audit;
- Monitoring employee compliance with policies and
procedures;
- Organizing and lead compliance training programs; and
- Ongoing review of regulatory requirements/updates that may lead
to policy changes.
- Required Qualifications:
- Bachelor's degree in business, finance, or other applicable
discipline;
- Seven to ten years of dynamic broker-dealer compliance
experience in the securities industry with a thorough understanding
of the federal and state securities laws and the rules of the SEC,
Client, NFA and MSRB;
- Client Series 7, 24, and 63 preferred;
- Competent with drafting, reviewing, implementing, and managing
compliance policies and procedures;
- Ability to communicate effectively, both verbally and written,
to various audiences including regulatory agencies and addressing
any related inquiries and audits;
- Ability to establish working relationships with individuals and
teams both inside and outside of the firm; and
- Orientation towards process improvement and the ability to
think and work at both strategic and tactical levels as
required.
- Preferred Qualifications
- Juris Doctorate (JD) degree from an accredited U.S. school of
law
- perience with digital assets
- Experience with ATS compliance and operations
- Experience with Client New Membership Application Process
About Infinity Consulting Solutions
At Infinity Consulting Solutions our mission is to cultivate
successful long term relationships with candidates and clients
matching the right candidate with the right client. We believe
technology cannot replace the real personal relationships we
cultivate. We reject the notion that technology alone is the answer
to staffing which is why we our successful partnerships rely on
collaboration NOT automation. ICS has been providing flexible
staffing solutions for over 20 years in Information Technology,
Compliance, Accounting / Finance and Corporate Support. Our
staffing solutions include Contract, Temp to Perm and Permanent
Placement.
ICS is an Equal Opportunity Employer.
*W2 employees of ICS are offered comprehensive benefits including
health, dental and vision.
Keywords: Infinity Consulting Solutions, Inc., Boston , Interim CCO - Startup Stealth Broker Dealer - Fintech - Remote, Sales , Boston, Massachusetts
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