Chief Compliance Officer (Institutional Brokerage & Clearing)

About the Company

We are building a next generation institutional brokerage and trading platform, providing sophisticated market access, trading technology, surveillance capabilities and financial services infrastructure to institutional clients globally.

As the business continues to expand across brokerage, clearing, trading and capital markets activities, we are seeking a highly experienced Chief Compliance Officer to lead our enterprise compliance programme and help shape the firm’s regulatory strategy.

About the Role

The Chief Compliance Officer (CCO) will be responsible for leading and overseeing the compliance programme for the firm’s broker dealer and affiliated regulated entities. Reporting directly to executive leadership, this individual will serve as the primary advisor on regulatory, compliance and conduct risk matters while maintaining a strong culture of compliance across the organisation.

The successful candidate will possess deep expertise across broker dealer regulation, institutional brokerage, self clearing operations, trade surveillance, AML compliance and market structure. They will serve as the firm’s primary liaison with FINRA, the SEC and other regulatory authorities whilst supporting continued growth across institutional brokerage, clearing and trading activities.

This is a highly visible leadership role requiring both strategic oversight and hands on execution. The ideal candidate will be equally comfortable advising executive leadership and the Board as they are leading regulatory examinations, approving new products and driving day to day compliance initiatives.

Key Responsibilities

Compliance Program Leadership

• Serve as the designated Chief Compliance Officer for the broker dealer and affiliated regulated entities.
• Lead and continuously enhance the firm’s enterprise compliance framework across brokerage, clearing, trading and regulatory functions.
• Oversee Written Supervisory Procedures (WSPs), compliance policies, testing, monitoring and governance programmes.
• Lead annual compliance risk assessments and review compliance testing, surveillance and monitoring results.
• Ensure adequate compliance resources, governance structures and reporting frameworks are maintained across the organisation.

Regulatory Oversight & Examination Management

• Act as the primary point of contact for FINRA, SEC, state regulators, exchanges and other regulatory authorities.
• Lead regulatory examinations, inquiries, investigations and enforcement matters.
• Coordinate regulatory responses, remediation efforts and regulator communications.
• Monitor regulatory developments and ensure effective implementation across the organisation.
• Advise executive leadership regarding regulatory risk, examination readiness and supervisory obligations.

Institutional Brokerage & Trading Compliance

• Provide senior oversight across:

  • Institutional Brokerage
  • Self Clearing Operations
  • Trade Surveillance
  • Market Conduct Monitoring
  • Electronic Communications Surveillance
  • Market Access Controls
  • Securities Lending
  • Futures Activities
  • Regulatory Reporting
  • Customer Protection & Financial Responsibility Rules
  • Employee Trading & Conflicts Management

• Lead compliance oversight for institutional trading, market access and electronic trading businesses.

• Oversee surveillance programmes designed to identify market abuse, insider trading, manipulation and other regulatory concerns.

• Provide regulatory guidance on new products, services, strategic initiatives and business expansion efforts.

• Ensure supervisory systems remain aligned with regulatory requirements and industry best practices.

AML, Sanctions & Financial Crime

• Oversee AML, sanctions and financial crime compliance programmes.
• Provide leadership to AML and surveillance functions to ensure effective monitoring, escalation, investigations and regulatory reporting.
• Partner with operational and risk teams to strengthen financial crime controls and governance frameworks.

Risk Management & Governance

• Identify emerging compliance and regulatory risks and develop appropriate mitigation strategies.
• Establish compliance risk indicators, executive reporting and governance dashboards.
• Present key compliance matters and risk themes to senior leadership and governance committees.
• Oversee issue management, corrective action plans and remediation efforts resulting from regulatory reviews, audits and examinations.

Leadership & Strategic Partnership

• Lead and develop a multi disciplinary compliance organisation spanning General Compliance, AML Compliance and Trade Surveillance.
• Partner closely with Legal, Risk, Operations, Finance, Technology and senior business leaders.
• Support acquisitions, strategic initiatives, product launches and new market expansion efforts.
• Maintain strong relationships with regulators, auditors, external counsel and industry stakeholders.

Qualifications

Required

• 10+ years of securities compliance experience within a regulated financial services environment.

• Extensive broker dealer compliance expertise across institutional trading environments.

• Deep understanding of:

  • SEC Regulations
  • FINRA Rules
  • Institutional Brokerage
  • Self Clearing Operations
  • Trading & Market Structure
  • Trade Surveillance
  • Electronic Communications Surveillance
  • Customer Protection Requirements

• Significant experience managing FINRA and SEC examinations, investigations and remediation efforts.

• FINRA Series 7 and Series 24 licences required. Series 3 preferred.

Preferred

• Current or former Chief Compliance Officer, Deputy Chief Compliance Officer or Head of Compliance.
• Experience supporting institutional brokerage, self clearing, prime brokerage or ATS businesses.
• Experience leading General Compliance, AML and Trade Surveillance teams.
• Previous FINRA, SEC or regulatory experience.
• Experience within fintech or electronic trading businesses.
• Board level reporting and executive committee exposure.

Compensation

Base Salary: $250,000 to $350,000 + bonus + equity opportunity