Job Description:
Wedbush Securities is one of the largest securities firms and investment banks in the nation. We provide innovative financial solutions through our Wealth Management, Capital Markets, Futures and Advanced Clearing & Prime Services divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent offices, our commitment to providing relentless, customized service is the foundation of our consistent growth.
Our Chicago office is hiring an experienced Chief Compliance Officer of the Futures Division. The position is responsible for overseeing and managing compliance within the Futures Commission Merchant (FCM). The position ensures the organization and its employees are in compliance with regulatory requirements as well as with internal policies and procedures. The position interfaces with various regulatory organizations.
- Lead the Futures Commission Merchant (FCM) Compliance team and oversee Trade Surveillance activities
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Interface with regulatory organizations and maintain ongoing regulatory relationships
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Respond to internal and regulatory inquiries and support remediation efforts as needed
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Manage and facilitate on?site regulatory examinations
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Provide guidance and interpretation on regulatory and compliance matters
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Assist in identifying, addressing, and resolving regulatory issues or violations
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Serve as a liaison with internal and external legal counsel
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Chair and govern the FCM New Account Committee
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Perform other duties as required and assigned
Experience and Skills:-
Bachelor's Degree from accredited university required, preferably in Business, Economics, Accounting or other related field
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Advanced degree (JD, MBA, MA/MS) highly preferred
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10+ years of securities industry regulatory compliance experience, with at least 5+ years of leading broker-dealer compliance function
- FINRA Series 3, 30 Required
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Experience interacting with C-suite executives and Boards of Directors
- Proven track record with FINRA, SEC, NFA and other industry regulatory authorities
- Advanced knowledge of broker-dealer and investment advisory laws and regulations
- Highly organized and able to multi-task and manage multiple projects and competing priorities without sacrificing accuracy or efficiency
- Excellent communication and presentation skills with the ability to communicate effectively across various departments and levels of the organization
- Exhibit a forward?looking, strategic approach to monitoring and integrating emerging regulatory requirements and industry best practices
- Strong negotiation and conflict resolution skills
Job Benefits:
As part of our overall compensation package, Wedbush Securities offers an array of diverse benefits to all our colleagues. We believe that providing competitive benefit options yields the advantageous reward of establishing a healthy and inclusive foundational work culture.
- Comprehensive medical, dental, and vision coverage with multiple health plan options for you and your family
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Health Savings Account with company-sponsored contributions
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Flexible Spending Accounts (FSA) traditional and dependent care
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Pre-Tax Commuter Benefits
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401(k) plan with discretionary, competitive company matching and profit-sharing contributions
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Tuition reimbursement up to $5,250/year
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3 weeks of Paid Time Off
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2 weeks of Paid Sick Time (may vary by location)
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10 Paid Holidays
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Charitable Donation Matching Contributions
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Paid Leave (Parental Bonding, Military, Jury Duty, Volunteer Time Off, Disability, etc.)
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FINRA License Sponsorship
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Travel & Employee Assistance and Employee Discount Programs
The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $200,000 to $225,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
Wedbush Securities (WS) is proud to be an Equal Employment Opportunity employer. WS does not discriminate based on race, religion, color, creed, sex, sexual orientation, gender, gender identity or expression, national origin, ancestry, citizenship status, registered domestic partner status, uniform service member status, marital status, pregnancy, age, medical condition, disability, genetic information, family care or medical leave status, or any other consideration made unlawful by applicable federal, state, or local laws, or on the basis that an applicant or Colleague is perceived to have these characteristics or is associated with someone who is perceived to have these characteristics. WS aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm as well as provided equal opportunities to succeed.
Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview
This position is subject to various laws or regulations that impose restrictions or prohibitions for employment with Wedbush due to criminal history. Those laws or regulations include but are not limited to, the following: Securities Exchange Act of 1934 (SEA) Rule 17a-3, et. seq,, Financial Industry Regulatory Authority (FINRA) Rules 3110(e), Rule 4530(a), etc., and FINRA Regulatory Notice 07-55.
From: Wedbush Securities
