Chief Compliance Officer, Broker Dealers

The Chief Compliance Officer, Broker Dealers is responsible for implementation and maintenance of the tax channel compliance programs (multiple broker-dealers with combined total of 4500+ financial advisors).
They are also responsible for ensuring the Firm’s policies and procedures are followed regarding the products, processes, procedures and services offered.
What you will do: Draft and maintain policies and procedures to ensure that broker-dealer compliance programs meet applicable laws and regulations and ensure that advisors’ operations are conducted in compliance with applicable policies and procedures Oversee compliance risk assessments and manage the department’s testing and monitoring program in accordance with regulatory expectations and best practices.
Review, revise and test compliance programs in accordance with 3012/3130 standards.
Develop and implement enterprise level risk mitigation plans that both protect the firm’s reputation and financial standing while allowing the business to grow.
Provide recommendations to the business regarding the implementation of new rules and regulations.
Oversee and manage the compliance teams for multiple broker-dealers.
Work with senior management, legal department, human resources, Regional Directors, Registered Representatives and other key constituencies to encourage, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations.
Be a subject matter expert when dealing directly with advisors on a variety of compliance, regulatory and business/industry topics.
Partner effectively with financial advisors along with internal departments such as Operations, Information Technology, Finance, Supervision and Business Departments to advance initiative.
Represent the broker-dealers and CFG during industry meetings.
Travel Requirements: Travel up to 30% What you need to have: Bachelor’s degree in legal studies, business, or related field Minimum 15 years of experience in Broker Dealer Compliance Minimum 10 years of experience managing a large team comprised of multiple layers Broad exposure to key functional areas of product due diligence, recruiting and retention FINRA Series 7, 24 Thorough knowledge of the broker-dealer business from a product, corporate governance, compliance and administrative perspective Strong knowledge of FINRA and SEC rules and regulations, interpretive guidance and industry best practices Excellent ability to interpret and communicate regulatory guidance Ability to review and analyze cases from a practical, policy and regulatory framework Ability to identify solutions to problems when there is a disagreement between parties Ability to interact with and influence members of senior management and a highly entrepreneurial and independent minded sales force Excellent written and verbal communication Good analytical skills and attention to detail Knowledge and ability to use MS office including Excel, Word, PowerPoint, and Salesforce (preferrable) Ability to work well under pressure and under tight deadlines Ability to grow, coach and mentor compliance team What is nice to have: Advanced degree Previous experience as a CCO in Financial Services Compensation Range: The base annual salary range for this role is $215,000 to $230,000 plus a competitive performance-based bonus.
Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location.
Base annual salary may also differ significantly due to geography and cost of labor considerations.
#LI-Hybrid What we give you in return: Not many teams can say that they support people’s dreams coming to life… We happen to do that every day.
And as important as we know your career is, we recognize that there’s a whole lot more to life.
To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including: Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship Easy access to mental health benefits to meet our team members and their families where they are 20+ days of paid time off (PTO), paid holidays, and 2 days of paid volunteer time off (VTO) to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years Paid parental leave to support all team members with birth, adoption, and foster Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more Employee Assistance Program (EAP), LifeLock, Pet Insurance and more About Cetera Financial Group: Cetera Financial Group ® ("Cetera") is a leading network of independent retail broker-dealers empowering the delivery of objective financial advice to individuals, families and company retirement plans across the country through trusted financial advisors and financial institutions.
Cetera is an independent financial advisor network and a leading provider of retail services to the investment programs of banks and credit unions.
Through its multiple distinct firms, Cetera offers independent and institutions-based advisors the benefits of a large, established broker-dealer and registered investment adviser, while serving advisors and institutions in a way that is customized to their needs and aspirations.
Advisor support resources offered through Cetera include award-winning wealth management and advisory platforms, comprehensive broker-dealer and registered investment adviser services, practice management support and innovative technology.
" Cetera Financial Group " refers to the network of retail independent broker-dealers encompassing, among others, Cetera Advisors , Cetera Advisor Networks , Cetera Financial Institutions, Cetera Financial Specialists , and First Allied Securities .
Cetera Financial Group is committed to providing an equal employment opportunity for all applicants and employees.
For us, this is the only acceptable way to do business.
Accordingly, all employment decisions at the Cetera Financial Group, including those relating to hiring, promotion, transfers, benefits, compensation, and placement, will be made without regard to race, color, ancestry, national origin, citizenship, age, physical and/or mental disability, medical condition, pregnancy, genetic characteristics, religion, religious dress and/or grooming, gender, gender identity, gender expression, sexual orientation, marital status, U.
S.
military status, political affiliation, or any other class protected by state and/or federal law.
Agencies please note : this recruitment assignment is being managed directly by Cetera’s Talent Acquisition team.
We will reach out to our preferred agency partners in the rare instance we require additional talent options.
Your respect for this process is appreciated.
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