Responsibilities

Acting as second-in-command to the Chief Compliance Officer, oversee the compliance and supervision program for CCOISC and its registered and non-registered colleagues. Responsible for all compliance/risk management activities including but not limited to sales, marketing, operations, finance and customer service to ensure compliance with all State (State Securities and State Insurance Divisions), Federal (FINRA, SEC and MSRB) and Bank (OCC, FRB) regulations.

Such responsibilities include the review and implementation of policies and procedures related to the FC, RSM, DOS, Branch and Department examination programs, enforcement and disciplinary issues, customer complaints, outside business activities, firm element continuing education, suitability review and all aspects of supervision (inclusive of email, correspondence, advertising, personal securities trading, adhearence to policies, procedures and codes-of-ethics, etc.)

Qualifications

10+ years broker/dealer experience (bank affiliated firm preferable)

10+ years in securities industry compliance position(s) (e.g. B/D, Mutual Fund, Investment Advisor, etc.)

5+ years in compliance management

Excellent written and verbal communication skills

Strong analytical ability

Legal background a plus but not required

Thorough understanding of the rules, regulations and legal requirements of the SEC, FINRA and general state securities and insurance regulatory requirements

Proficiency and or direct experience with examination principles and practices for the securities industry

Knowledge of operational matters within a Retail B/D and Registered Investment Advisor

Able to support, present to and appropriately interact with all levels of Senior and Executive Management

Minimum BS in Business Administration (Finance, Economics) or related field or equivalent business experience

NASD Series 7 and 24 registration required (or equivalent regulatory registration) - Series 65/66 and 53 preferred but not required

Hours and Work Schedule

Hours per week: 40

Work Schedule: Monday - Friday 8:00 AM - 5:00 PM

Equal Employment Opportunity

CCO Investment Services, Corp. is an equal opportunity and affirmative action employer. CCO Investment Services, Corp. does not discriminate on the basis of race, color, religion, sex, age, national origin, physical or mental disability, sexual orientation, gender identity or expression, or status as a special disabled veteran, Vietnam veteran, or other veteran of the United States Armed Forces, or any other protected characteristic.

If interested, please apply online at http://track.jobviper.com/ViewJob.asp?id=650125-223-8921

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