Chief Compliance Officer, Securities America

Compliance Leadership Opportunity in Financial Services

Chief Compliance Officer – Securities America  


Location:          12325 Port Grace Boulevard, La Vista, NE  68128

Summary:

The Chief Compliance Officer (CCO) is responsible for implementation of compliance programs for their specific broker dealer within Advisor Group.

The CCO will work closely with several key constituencies within Advisor Group including the Legal department, Network Compliance, Investment Advisory Compliance, Supervision Department and other departments as needed.  This CCO position is located in our Securities America office in La Vista, NE and reports to the Advisor Group Chief Compliance Officer.

Responsibilities:

  • Providing compliance oversight to Securities America broker-dealer firm and Financial Professionals. 
  • Developing an overall vision for compliance functional areas which effectively manages and mitigates risk.
  • Establish, and monitor for adherence to, policies and procedures to ensure that broker-dealer compliance programs are designed to meet applicable laws and regulations and ensure that Financial Professionals’ operations are conducted in compliance with applicable policies and procedures.
  • Develops, implements, sustains, monitors, and when necessary, revises compliance programs that reflect “best practices”, mitigate risk. and address legal and regulatory requirements.
  • Ensures that policies and procedures are appropriately documented and referenced in the firm’s compliance manuals and written supervisory procedures.
  • Serve as a subject matter expert when dealing with financial professionals on a variety of compliance, regulatory and business/industry topics.
  • Researches existing rules, monitors regulatory developments, and communicates changes to affiliates and home office staff.
  • Works with business partners and managers to bring non-complying areas into compliance.
  • Responds to, oversees and/or assists counsel with responses to regulatory inquiries.
  • Plans, assigns, monitors, reviews, and leads the work of others.
  • Travel up to 30%
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree from accredited university in Business, Finance or related field required.
  • Additional education accomplishments and/or related professional certifications and qualifications are preferred.

Basic Requirements:

  • Minimum 15 years of increasing broker-dealer compliance and leadership responsibilities,
  • FINRA Series 7, 24 are required,
  • Excellent communication and presentation skills,
  • Thorough knowledge of the broker-dealer business from a product, corporate governance, compliance and administrative perspective,
  • Working knowledge of FINRA and SEC rules and regulations, as well as state regulatory framework,
  • Experience in conducting internal reviews and in preparing written summaries and regulatory responses,
  • Thorough knowledge of securities products (i.e. mutual funds, variable annuities, alternative investments, complex products and individual securities), compliance and supervisory requirements,
  • Ability to work well under pressure and under tight deadlines,
  • Broad exposure to key functional areas of product due diligence, recruiting and retention,
  • Excellent ability to interpret and communicate regulatory guidance.

Preferred Requirements:

  • FINRA Series 65/66 preferred
  • Desired competencies include: Action oriented, command skills, leading and developing direct reports, innovation, continuous improvement, managerial courage, accountability, measuring change, metrics focus, and drive for results
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support more than 11,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.