SVP, Chief Compliance Officer of the Futures Division

About the role

Wedbush Securities is hiring an experienced Chief Compliance Officer of the Futures Division. The position is responsible for overseeing and managing compliance within the Futures Commission Merchant (FCM).

Responsibilities

• Lead the Futures Commission Merchant (FCM) Compliance team and oversee Trade Surveillance activities
• Interface with regulatory organizations and maintain ongoing regulatory relationships
• Respond to internal and regulatory inquiries and support remediation efforts as needed
• Manage and facilitate on-site regulatory examinations
• Provide guidance and interpretation on regulatory and compliance matters
• Avoid and resolve regulatory issues or violations
• Serve as a liaison with internal and external legal counsel
• Chair and govern the FCM New Account Committee
• Perform other duties as required and assigned

Requirements

• Bachelor's Degree from accredited university required, preferably in Business, Economics, Accounting or other related field
• Advanced degree (JD, MBA, MA/MS) highly preferred
• 10+ years of securities industry regulatory compliance experience, with at least 5+ years of leading broker-dealer compliance function
• FINRA Series 3, 30 Required

Qualifications

• Experience interacting with C-suite executives and Boards of Directors
• Proven track record with FINRA, SEC, NFA and other industry regulatory authorities
• Advanced knowledge of broker-dealer and investment advisory laws and regulations
• Highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
• Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
• Exhibit a forward-looking, strategic approach to monitoring and integrating emerging regulatory requirements and industry best practices
• Strong negotiation and conflict resolution skills

Skills

• None specified

Benefits

• Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
• Health Savings Account with company-sponsored contributions
• Flexible Spending Accounts (FSA) traditional and dependent care
• Pre-Tax Commuter Benefits
• 401(k) plan with discretionary, competitive company matching and profit-sharing contributions
• Tuition reimbursement up to $5,250/year
• 3 weeks of Paid Time Off
• 2 weeks of Paid Sick Time (may vary by location)
• 10 Paid Holidays
• Charitable Donation Matching Contributions
• Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
• FINRA License Sponsorship
• Travel & Employee Assistance and Employee Discount Programs

Pay

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $200,000 to $225,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance.

Schedule

Starting Date: ASAP