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⚡ Chief Compliance Officer

💼 Institutional Broker Dealer & Clearing

💲 $250,000 to $350,000 + Bonus + Equity

🌎 Dallas, Texas

A regulated financial services firm operating across institutional brokerage, clearing, electronic trading and digital assets is seeking a Chief Compliance Officer to lead its compliance programme. The business requires a hands on executive who can support growth while maintaining a strong supervisory framework and high standards of regulatory integrity.

About the role:

As Chief Compliance Officer, you will lead and oversee the compliance programme for the firm’s broker dealer and affiliated regulated entities. You will act as the primary adviser to senior management on regulatory, compliance and conduct risk, while serving as the principal liaison with FINRA, the SEC, state regulators, exchanges and other regulatory authorities.

This is a hands on leadership role requiring both strategic direction and operational execution. You will oversee General Compliance, AML and Trade Surveillance, while ensuring the firm’s compliance programme scales across institutional brokerage, self clearing, securities lending, electronic trading, futures and digital asset related activities.

The Perfect Candidate

• Broker Dealer Compliance Leader with experience as a Chief Compliance Officer, Deputy Chief Compliance Officer or Head of Compliance
• Strong exposure to institutional brokerage, self clearing, prime brokerage, ATS or electronic trading
• Leadership responsibility across General Compliance, AML and Trade Surveillance

What You’ll Do

• Regulatory Oversight: Act as the primary contact for FINRA, the SEC, state regulators and exchanges, leading regulatory examinations, investigations, inquiries and remediation programmes.
• Programme Leadership: Design, implement and continuously enhance the firm’s compliance programme, Written Supervisory Procedures, risk assessments, testing, monitoring and licensing frameworks.
• Trading Compliance: Oversee compliance across institutional brokerage, self clearing, market access, trade surveillance, communications surveillance, securities lending and futures activities.
• Risk & Governance: Establish compliance risk indicators, executive reporting and governance processes while escalating and remediating regulatory or conduct risks.
• Strategic Partnering: Work closely with Legal, Risk, Operations, Finance, Technology and business leadership to support new products, acquisitions, market entry and continued growth.

Qualifications

• 10+ years of broker dealer compliance experience within a regulated financial services environment.
• Deep knowledge of FINRA rules, SEC regulations, supervisory frameworks, AML, sanctions and trade surveillance.
• Experience supporting institutional brokerage, self clearing, prime brokerage, ATS, electronic trading or related market activity.
• Demonstrated experience managing regulatory examinations, investigations, enforcement matters and enterprise remediation.
• Proven leadership across General Compliance, AML and Trade Surveillance, directly or through senior compliance leaders.
• FINRA Series 7 and Series 24 are required. Series 3 is required or expected to be obtained shortly after joining.

Why Join

• $250,000 to $350,000 Base + Targeted Discretionary Bonus + Equity Opportunity
• Executive ownership of a multi disciplinary compliance organisation.
• Direct interaction with senior leadership, governance committees and regulatory authorities.
• Opportunity to transform and scale an enterprise compliance programme.
• Exposure to institutional brokerage, clearing, electronic trading, futures and digital asset related activities.
• Influence over new products, strategic initiatives and future business expansion.