Chief Compliance Officer

Chief Compliance Officer

Regal Securities, Inc. is seeking a Chief Compliance Officer (CCO) based at its headquarters in Glenview, Illinois. This leadership position is not remote.

We are searching for a motivated CCO to lead the Compliance Department of a FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm.

If you are a CCO looking to move to the next level, our well-established Chicago area investment brokerage and Registered Investment Advisory firm might be just the place for you. We are searching for a motivated individual to lead the Compliance Department of a FINRA registered broker-dealer firm. Excellent growth / advancement opportunity.

This position may be based in Regal's offices in Glenview, IL, Orlando, and/or Ft. Myers, Florida. Potential remote option available.

Essential Responsibilities:

• Direct and manage a staff of experienced compliance professionals and work closely under the guidance of the Firm's general counsel.
• Conduct and oversee surveillance for brokerage (including both online deep-discount trading and full service), and fee-based business activities.
• Monitor and alert management to current regulatory issues, risks, and deadlines.
• Evaluate and implement latest technology solutions for compliance related surveillance.
• Communicate proactively with supervisors, registered representatives and investment advisory representatives.
• Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators.
• Ensure compliance with annual calendar for regulatory deadlines, filings, audits, internal reviews, etc.
• Manage the Firm's FINRA Gateway filings (i.e. Form BD, U4s, U5s, state registrations, FOCUS reporting, etc.).
• Collaborate and review Written Supervisory Procedures and other guidance provided to registered representatives and personnel.
• Organize and coordinate branch audit inspections of registered representatives.
• Oversee and administer the Firm's Anti-Money Laundering (AML) Program.
• Improve the efficiency of the Firm's supervisory system of branch and home offices.
• Conduct risk oversee assessments and internal reviews for the Firm's activities, and test the effectiveness of policies and procedures

Requirements:

• Minimum of 8 years professional compliance experience, with extensive knowledge of FINRA and SEC regulations
• Series 7, 24, 65/66 required
• Bachelor's Degree
• Extensive experience dealing with SEC, FINRA, and state securities regulators
• Certified Anti-Money Laundering Specialist designation is preferred
• Detail orientated, accurate, organized, able to set priorities
• Excellent interpersonal skills, sound judgement and ability to work effectively with staff at all levels
• Solid written and verbal communication skills
• Ability to multi-task and adapt to quick-shifting priorities
• Team player with strong coaching, feedback and listening skills

Candidate must have a broad range of knowledge of regulatory landscape for broker-dealers, registered investment advisors, and have a wide range of experience with investment products in the financial services industry. The Firm offers a fast-paced, challenging environment, and you will have the chance to play a large role in its exciting growth initiatives for its representatives and advisors throughout the country.