Chief Compliance Officer

Phaidon International - Washington, DC

Full-time - Senior

Washington, DC

Professional, Scientific, and Technical Services

About the position

The Chief Compliance Officer will lead the broker-dealer compliance programs at a prominent investment banking firm. This role is crucial for ensuring adherence to regulatory standards and managing compliance initiatives, making it a key position within the organization.

Responsibilities

• Manage broker-dealer compliance programs, including Written Supervisory Procedures (WSPs), training initiatives, Anti-Money Laundering (AML) compliance, licensing, annual testing, and ongoing education programs.
• Act as the firm's point of contact/liaison between regulatory agencies for any inquiries.
• Conduct reviews of equity and policy research reports to ensure compliance with regulatory standards.
• Offer guidance and serve as the firm's subject matter expert on complex regulatory issues, compliance rules, and procedures for Investment Banking, Research, and Trading.

Requirements

• Bachelor's degree from an accredited institution.
• Active Series 7 & 24 licenses.
• Proven expertise in the rules, regulations, and best practices governing broker-dealer operations.
• Excellent verbal and written communication skills.