Job Overview:
Broker Dealer / RIA CCO
Location, Nationwide
Overview
FINRA-member investment banking firm looking to expand into capital markets, public finance, fixed income. The firm is seeking a CCO principal who will manage that department, including designing and implementing overall strategy, underwriting standards, and managing the business operations and resources of the department.
Responsibilities
· This role is focused on the compliance, development, and management of business in Debt Capital Markets, Equity Capital Markets, Agency Offerings, Structured Products and Public Finance.
· Define, develop, refine and implement underwriting processes and guidelines.
· Hire and train additional team members as needed
· Prepare and present recommendations to the management team
· Other responsibilities as assigned
Qualifications
· At least 5 or more years of investment banking experience, with substantial experience with Debt Capital Markets, Equity Capital Markets, Agency Offerings, Structured Products and Public Finance
· A team player & Growth oriented
· Requirement: FINRA Series 7, 24, 4, 53, 79, and 65 certifications current or within 4 months of hire
Please provide cover letter, resume, and salary requirements.
Job Type: Full-time
Pay: $60,000.00 - $125,000.00 per year
Weekly schedule:
Work setting:
Experience:
- Compliance: 2 years (Preferred)
Work Location: Remote