Chief Compliance Officer

2 days ago Be among the first 25 applicants

We are seeking an experienced and detail-oriented professional to serve as our Chief Compliance Officer and Financial and Operations Principal (FinOp). This dual role is responsible for ensuring regulatory compliance across all business operations and maintaining the financial integrity of our broker-dealer firm. The ideal candidate will have a proven track record of managing complex regulatory environments and fostering a strong culture of compliance.

This is a part-time position with significant growth potential.

As Vex Securities continues to expand, this role has the opportunity to transition into a full-time executive leadership position for the right candidate.

Key Responsibilities

Compliance Oversight

Serve as the firm's Chief Compliance Officer, overseeing all compliance policies, procedures, and programs

Maintain current knowledge of FINRA, SEC, and state securities regulations

Conduct regular compliance audits and surveillance of trading activities, communications, and business practices

Develop and deliver ongoing compliance training to registered representatives and staff

Manage regulatory examinations and inquiries from FINRA, SEC, and state regulators

Investigate and resolve customer complaints and regulatory issues

Prepare and file all required regulatory reports and disclosures

Financial and Operations Principal Duties

Serve as the firm's designated FinOp under FINRA Rule 1022

Oversee preparation and filing of FOCUS reports and financial statements

Monitor net capital calculations and ensure compliance with SEC Rule 15c3-1

Ensure compliance with customer protection rules under SEC Rule 15c3-3

Manage relationships with clearing firms and monitor financial arrangements

Oversee the firm's books and records in compliance with SEC Rule 17a-3 and 17a-4

Coordinate annual audits with external auditors

Identify, assess, and mitigate operational and regulatory risks

Implement and maintain supervisory procedures and written supervisory procedures (WSPs)

Establish internal controls to prevent violations of securities laws and regulations

Monitor anti-money laundering (AML) compliance program

Collaborate with technology team to develop and maintain compliant Alternative Trading System (ATS) software

Provide regulatory guidance on ATS requirements under Regulation ATS (SEC Rule 242.300 et seq.)

Ensure all trading system features and functionality comply with FINRA and SEC rules

Review and approve system changes, updates, and new features from a compliance perspective

Develop policies and procedures for ATS operations and oversight

Coordinate regulatory filings related to ATS operations (Form ATS, Form ATS-N)

Required Qualifications

FINRA Licensing (Required)

Series 14 (Compliance Official) - Required

Series 27 (Financial and Operations Principal) - Required

Preferred Licensing

Series 99 (Operations Professional) - Preferred

Experience

Minimum 5 years of experience in broker-dealer compliance and / or operations

Minimum 3 years in a senior compliance or FinOp role

Strong understanding of FINRA, SEC, and MSRB rules and regulations

Experience managing regulatory examinations and resolving regulatory matters

Experience with Alternative Trading Systems (ATS) or electronic trading platforms highly preferred

Skills and Competencies

Exceptional attention to detail and organizational skills

Strong analytical and problem-solving abilities

Excellent written and verbal communication skills

Ability to work independently and make sound judgments

Proficiency with compliance management systems and financial software

Ability to assist as a Subject Matter Expert to collaborate effectively with technology teams and translate regulatory requirements into technical specifications

Understanding of trading system architecture and software development processes (preferred)

Strong ethical standards and integrity

Ability to manage multiple priorities in a fast-paced environment

Experience with regulatory reporting systems and databases

Travel Requirements

San Jose-based candidates : Travel to Puerto Rico twice per year for firm meetings

Remote candidates : Travel quarterly to either San Jose, CA or Puerto Rico for firm meetings and compliance reviews

Compensation

Competitive hourly rate or part-time salary commensurate with experience. Benefits package available for employees. Both contractor and employee arrangements will be considered based on candidate preference and qualifications.

To Apply

Please submit your resume and a summary of your regulatory experience to :

• LinkedIn : Message John Crossman, CEO of Vex Securities

Note : This position is available immediately. Candidates with active licenses and availability to start within 30 days will be given priority consideration. Both W-2 employee and 1099 contractor arrangements available.

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