Chief Compliance Officer (Hybrid)- Glenview, IL

Chief Compliance Officer (Hybrid)- Full Time

Location: Glenview, IL, 60025

What you will be doing:

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  Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.

  
  


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  Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.

  
  


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  Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.

  
  


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  Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.

  
  


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  Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.

  
  


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  Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.

  
  


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  Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.

  
  


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  Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.

  
  

Experience you will need:

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  At least 8 years in compliance, with deep knowledge of FINRA and SEC regulations.

  
  


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  Self-directed brokerage experience desired.

  
  


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  Series 7, 24, and 65/66 licenses required.

  
  


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  A Bachelor's Degree is essential, and CAMS certification is preferred.

  
  


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  Exceptional organizational, analytical, and problem-solving abilities.

  
  


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  Stellar written and verbal communication skills, with the ability to influence and engage at all levels.

  
  


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  A proven ability to multitask and thrive in a fast-paced environment.

  
  


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  Strong team player with excellent coaching, feedback, and listening skills.

  
  


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  Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

  
  

Top Reasons to work with our client:

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  Innovative trading platform!

  
  


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  Supportive team culture!

  
  


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  Career advancement opportunities!

  
  


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  Focus on professional growth!

  
  


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  Competitive salary and benefits!

  
  


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  Work with industry experts!

  
  


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  Cutting-edge technology!

  
  


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  Client-centric approach!

  
  


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  Dynamic work environment!

  
  


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  Strong reputation in finance!