Chief Regulatory Officer (CRO)

Chief Regulatory Officer (CRO)

About the Company

Accomplished provider of financial services

Industry

Financial Services

Type

Privately Held

About the Role

The Company is seeking a Chief Regulatory Officer (CRO) to take the lead in all regulatory and compliance functions for its registered broker-dealer and RIA. The successful candidate will be responsible for developing and executing a compliance strategy that is in line with the company's growth goals, managing relationships with various regulatory bodies, and supervising a compliance team to ensure a high-performance culture. The CRO will also be tasked with designing and automating compliance workflows, collaborating with executive leadership, legal, and product teams, and representing the organization in industry and regulatory groups. Applicants for the CRO position at the company should have a minimum of 15 years' of broker-dealer compliance experience, with a deep understanding of FINRA, SEC, and state-level regulations. Proven leadership and communication skills are essential, as is experience in capital markets or investment banking. The role requires a Bachelor's degree, with a JD or advanced degree being a plus, and the candidate must hold FINRA Licenses : Series 7, 24, and 63, with Series 79 and 82 being preferred. The ideal candidate will be adept at anticipating and addressing regulatory challenges and providing innovative solutions to ensure the company's compliance operations are in line with business initiatives.

Travel Percent

Less than 10%

Functions

• Finance
• Legal