Chief Compliance Officer

The Chief Compliance Officer directs all aspects of ETC Brokerage Services compliance affairs. The role oversees the company’s regulatory compliance programs. They serve as the compliance liaison for the Executive Team, Board of Directors, and external regulators. The CCO is a senior level role and has direct access to the ETCB CEO and President.

• Monitors compliance with Company policy and regulatory guidelines to ensure compliance with FINRA, SEC, MSRB, State regulations, and all other applicable requirements as mandated by regulation or firm policy.
• Directs a staff of Compliance Professional(s) to assist in executing regulatory requirements and focuses on the development of such staff
• Provides periodic reporting and updates to senior management and the Board of Directors on the Company’s current Compliance and Risk Management efforts
• Serves as a resource to the Board, senior management, and department heads regarding applicable regulatory requirements, quality controls, internal controls, communications, reporting and management information systems, monitoring, and process improvements
• Manages the firm’s Compliance Program, including CIP, BSA/AML, OFAC, SAR, CAT and FinCEN reporting
• Communicates with the Company’s internal and external auditor(s) to help ensure Company goals and objectives pertaining to Compliance are being met,
• Takes a proactive role in regulatory requirements including assessments and testing of firm activities, identifying essential knowledge to disseminate to the firm, managing the day to day compliance operations,
• Responsible for regulatory management including identifying amended and new regulatory requirements, assessing firm standing in areas of regulatory focus, regulatory inquiries and exams.
• Collaborates, designs and executes on implementing efficient workflows for compliance requirements that entails centralized supervisory and record keeping- for example, marketing materials review
• Implements programs/initiatives to enhance compliance awareness and seeks to continuously improve the existing Company’s Compliance program
• Assists with the review of all Company forms, marketing and educational materials, and all internal and external Company communications including confirmations, statements and client correspondence
• Assists and supports various stakeholders with drafting, reviewing, and modifying all broker dealer compliance related policies and procedures
• Implements and directs the Company’s record retention program
• Perform other duties as assigned by the ETCB Chief Risk Officer, President, CEO or Board
• Travel to various locations, both within our organization and externally, may be required depending on your role and responsibilities.

• Bachelor’s Degree in Business or Financial discipline
• Minimum of seven (10) years of work experience in compliance, risk, supervision, audit department(s) of financial services organization required (broker-dealer experience strongly preferred)

• FINRA Series 14 preferred
• FINRA Series 7, & 24 required
• If you do not already have a Securities license relevant to your role at Innovayte, you may be required to take and pass the Securities Industries Essentials exam provided by FINRA. In addition, based on your role responsibilities, you may also be required to pass additional Securities Industry exams to allow you to operate in your role and be compliant with FINRA and the SEC requirements.
  
  These licenses, when required, need to be obtained within certain specific time frames, typically 120 calendar days.

To be successful in this role, you should have experience with and an understanding of the following:

• Familiar with regulatory requirements in securities markets environment
• Demonstrated experience implementing and maintaining a compliance program within a FINRA regulated self-clearing or correspondent clearing organization
• Must have good communication skills (verbal and written) and have a successfully demonstrated record of conducting affairs and duties as a team member
• Strong analytical skills and proficiency working with Microsoft Excel and Power Point preferred
• Experience…