Description

The Chief Compliance Officer will lead the company’s broker-dealer Compliance team and program. This role is pivotal in developing and implementing policies and procedures designed to meet applicable securities regulatory requirements. You will establish, review, test, and modify compliance policies to ensure adherence to relevant securities laws and regulations, as well as FINRA rules, demonstrated through the annual FINRA Rule 3130 certification.

Company Culture and Environment

The company promotes a culture of compliance and proactive risk management. Teamwork and collaboration are central to the Compliance team’s function, creating an environment where team members can thrive in meeting regulatory challenges.

Career Growth and Development Opportunities

As a leader in the Compliance team, you will have the opportunity to shape compliance strategies and policies, allowing for professional growth and the development of leadership skills that can advance your career within the organization.

Detailed Benefits and Perks

• Flexible work arrangements including remote work options
• Opportunity to work in a supportive and dynamic compliance environment
• Opportunity to gain significant experience in the securities regulatory landscape

Compensation and Benefits

• Competitive salary based on experience
• Health, dental, and vision insurance
• Retirement savings plan with company matching
• Generous paid time off policy

Why you should apply for this position today

This is an exceptional opportunity to lead compliance initiatives in a fast-paced environment. You will play a critical role in shaping the company’s compliance structure and will have a direct impact on its success and reputation in the industry.

Skills

• Strong knowledge of securities regulations, compliance, and FINRA rules
• Excellent analytical and problem-solving skills
• Proven leadership and team management abilities
• Strong communication skills, both verbal and written
• Ability to develop and implement effective compliance programs

Responsibilities

• Lead the development and implementation of compliance policies and procedures
• Ensure compliance with applicable securities laws and FINRA regulations
• Review and modify compliance processes to meet changing regulatory requirements
• Conduct training and provide guidance to team members on compliance matters
• Prepare for and manage the annual FINRA Rule 3130 certification

Qualifications

• JD degree and admission to the bar in at least one state
• Proven experience in a compliance role within a broker-dealer or similar environment
• Strong understanding of the regulatory landscape affecting broker-dealers

Education Requirements

• Juris Doctor (JD) degree from an accredited law school

Education Requirements Credential Category

• Professional degree in law

Experience Requirements

• Minimum of 5 years of experience in compliance or regulatory affairs within the securities industry
• Demonstrable experience in leading compliance initiatives and teams

Why work in Portland, OR

Portland, known for its vibrant culture and beautiful landscapes, offers a unique blend of urban and natural experiences. The city is famous for its strong community focus, diverse food scene, and commitment to sustainability. With an array of outdoor activities available, Portland provides an excellent quality of life that supports both personal and professional growth.