Now Hiring - Confidential - Chief Compliance Officer- Broker Dealer in Troy, MI

Full description of the position

Chief Compliance Officer (CCO) Position Summary The Chief Compliance Officer ("CCO") is responsible for overseeing, implementing, and administering Broker Dealers comprehensive compliance program to ensure adherence to all applicable federal and state securities laws, FINRA rules, and internal policies and procedures. The CCO serves as a key member of senior leadership and acts as the primary liaison with regulators, auditors, and internal stakeholders on all compliance-related matters. Required Licenses & Registrations * FINRA Series 7 * FINRA Series 24 * FINRA Series 53 (All licenses must be active and in good standing.) Key Responsibilities Regulatory Oversight & Compliance Program * Design, implement, and maintain the firm's Written Supervisory Procedures (WSPs) and compliance manuals. * Ensure firm-wide compliance with SEC, FINRA, and applicable state regulatory requirements. * Conduct ongoing reviews of policies, procedures, and supervisory systems to ensure effectiveness and regulatory alignment. * Oversee regulatory filings, disclosures, and certifications, including FINRA and SEC submissions. Supervision & Risk Management * Supervise firm activities related to trading, sales practices, advertising, communications, and operations. * Identify, assess, and mitigate compliance and regulatory risks across the organization. * Review and approve advertising, marketing materials, and public communications as required. * Monitor outside business activities (OBAs), private securities transactions (PSTs), and conflicts of interest. Examinations, Audits & Regulatory Interaction * Serve as the primary point of contact for FINRA, SEC, and state regulators. * Manage regulatory exams, audits, inquiries, and responses, including remediation efforts. * Prepare and present compliance reports to senior management and executive leadership. * Stay current on regulatory developments and proactively implement changes as required. Training & Culture of Compliance * Develop and administer compliance training programs for registered representatives and staff. * Promote a strong culture of compliance, ethics, and accountability throughout the firm. * Provide guidance and support to leadership and employees on compliance-related questions. Leadership & Collaboration * Work closely with executive leadership, operations, legal, and affiliated entities to ensure consistent compliance standards. * Advise leadership on regulatory strategy, policy interpretation, and risk exposure. * Assist in strategic initiatives, new product reviews, and business expansions from a compliance perspective. Qualifications * Active Series 7, Series 24, and Series 53 licenses required. * Minimum 7 -10 years of compliance experience within a FINRA-registered broker-dealer. * Prior experience as a Chief Compliance Officer or senior compliance leadership role preferred. Pay: $145,000.00 - $250,000.00 per year Benefits: * 401(k) * Health insurance * Paid time off * Relocation assistance Work Location: In person