Compliance Leadership Opportunity in Financial Services
Chief Compliance Officer - Securities America
Location: 12325 Port Grace Boulevard, La Vista, NE 68128
The Chief Compliance Officer (CCO) is responsible for the implementation of compliance programs for their specific broker dealer within Advisor Group.
The CCO will work closely with several key constituencies within Advisor Group including the Legal department, Network Compliance, Investment Advisory Compliance, Supervision Department and other departments as needed. This CCO position is located in our Securities America office in La Vista, NE and reports to the Advisor Group Chief Compliance Officer.
- Providing compliance oversight to Securities America broker-dealer firm and Financial Professionals, developing an overall vision for compliance functional areas which effectively manages and mitigates risk.
- Establish, and monitor for adherence to, policies and procedures to ensure that broker-dealer compliance programs are designed to meet applicable laws and regulations and ensure that Financial Professionals' operations are conducted in compliance with applicable policies and procedures.
- Develops, implements, sustains, monitors, and when necessary, revises compliance programs that reflect "best practices", mitigate risk and address legal and regulatory requirements.
- Ensures that policies and procedures are appropriately documented and referenced in the firm's compliance manuals and written supervisory procedures.
- Serve as a subject matter expert when dealing with financial professionals on a variety of compliance, regulatory and business/industry topics.
- Researches existing rules, monitors regulatory developments, and communicates changes to affiliates and home office staff.
- Works with business partners and managers to bring non-complying areas into compliance.
- Responds to, oversees and/or assists counsel with responses to regulatory inquiries.
- Plans, assigns, monitors, reviews, and leads the work of others.
- Travel up to 30%
- All other duties as assigned
- Bachelor's degree from accredited university in Business, Finance or related field is required.
- Additional education accomplishments and/or related professional certifications and qualifications are preferred.
- Minimum 15 years of increasing broker-dealer compliance and leadership responsibilities,
- FINRA Series 7 and 24 are required,
- Excellent communication and presentation skills,
- Thorough knowledge of the broker-dealer business from a product, corporate governance, compliance and administrative perspective,
- Working knowledge of FINRA and SEC rules and regulations, as well as state regulatory framework,
- Experience in conducting internal reviews and in preparing written summaries and regulatory responses,
- Thorough knowledge of securities products (i.e. mutual funds, variable annuities, alternative investments, complex products and individual securities), compliance and supervisory requirements,
- Ability to work well under pressure and under tight deadlines,
- Broad exposure to key functional areas of product due diligence, recruiting and retention,
- Excellent ability to interpret and communicate regulatory guidance.
- FINRA Series 65/66 preferred
- Desired competencies include: Action oriented, command skills, leading and developing direct reports, innovation, continuous improvement, managerial courage, accountability, measuring change, metrics focus, and drive for results