Chief Compliance Officer (Irvine)

Chief Compliance Officer

About the Company

Pioneering healthcare solutions provider for the agriculture industry

Industry

Hospital & Health Care

Type

Privately Held

Founded

1957

Employees

201-500

Specialties

• medical health plan
• health & wellness
• cobra administration
• care management
• field services
• bilingual field services
• health centers
• rural health centers
• mexico health network
• mexico clinic network
• online tools and resources
• and health & wellness centers

About the Role

The Company is seeking a Chief Compliance Officer to join their team. The successful candidate will be responsible for the day-to-day supervision and activities of the broker-dealer / investment advisor, client accounts and investment administration, and broker and banking relationships. This role requires enhancing and maintaining written supervisory procedures, training, licensing, internal controls, and various regulatory responsibilities. The Chief Compliance Officer will also be involved in managing compliance, administration, and overall supervision of registered representatives and investment advisers, as well as conducting regulatory examinations and ensuring adherence to laws.

Applicants for the Chief Compliance Officer position at the company should have a BA / BS and / or 10 years of relevant compliance experience, preferably at a regional or national retail brokerage firm. A proven track record in the field is preferred. The role demands excellent familiarity with the SEC and FINRA environment, as well as a clean U-4 with current Series 7, 24, 53, 99, and 66 licensing. The ideal candidate will have experience with commission vs. advisory business, knowledge of trading, and be familiar with OATS / CATS and TRACE reporting. High standards of integrity, ethical judgment, and excellent communication skills are essential. The Chief Compliance Officer will also be responsible for administrative tasks, including updating business continuity and cybersecurity plans, and serving as the Corporate Secretary for the financial services division.

Travel Percent

Less than 10%

Functions