Location: Glenview, IL
Company: Regal Securities, Inc.
About Us:
Regal Securities, Inc., is a well-respected investment brokerage and Registered Investment Advisory firm in the Chicago area. With a firm commitment to integrity and innovation, we’re expanding our team and looking for a dynamic Chief Compliance Officer (CCO) to lead our compliance efforts.
To optimize collaboration, team leadership development, and cultural interaction, this hands-on role is based onsite in our Glenview, IL headquarters where you’ll be at the heart of our mission to uphold the highest standards in regulatory compliance.
Position Overview:
As our Chief Compliance Officer, you’ll drive our compliance strategy, ensure regulatory adherence, and lead a team of top-notch professionals for our FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm. This is your chance to shape the future of compliance in a firm that values your expertise and innovative spirit.
What You'll Do:
- Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement.
- Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines.
- Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities.
- Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed.
- Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence.
- Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews.
- Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes.
- Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement.
What You'll Bring:
Experience: At least 8 years in compliance,with deep knowledge of FINRA and SEC regulations. Self directed brokerage experience desired.
Credentials: Series 7, 24, and 65/66 licenses required. A Bachelor’s Degree is essential, and CAMS certification is preferred.
Skills: Exceptional organizational, analytical, and problem-solving abilities.
Communication: Stellar written and verbal communication skills, with the ability to influence and engage at all levels.
Adaptability: A proven ability to multitask and thrive in a fast-paced environment.
Leadership: Strong team player with excellent coaching, feedback, and listening skills.
Knowledge: Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.
Why Regal Securities?
Innovative Environment: Thrive in a fast-paced, challenging setting where your contributions drive real impact.
Competitive Rewards: Enjoy an attractive salary, performance bonuses and a comprehensive benefits package.
Compensation Range: $150K - $200K.
Inclusive Culture: Join a diverse, inclusive team that values innovation, collaboration, and your unique contributions.
Ready to Lead and Innovate?
If you’re a strategic thinker with a passion for compliance and a proven track record of success, we want to hear from you.
Join Our Vision:
Be part of an innovative firm where your leadership and expertise will shape the future. At Regal Securities, Inc., we believe in the power of innovation and the strength of a collaborative team.
Apply today and make a difference with us!
Regal Securities, Inc. is an equal opportunity employer. We are committed to creating a diverse environment for all employees.