Title: Chief Compliance Officer
OTC Link, a wholly owned subsidiary of OTC Markets Group, is seeking an experienced Chief Compliance Officer based in our New York, NY office. OTC Link is a FINRA member broker-dealer that operates two SEC regulated alternative trading systems (ATSs), OTC Link ATS & OTC Link ECN, each facilitating trading in over-the-counter (OTC) equity securities. This is an amazing opportunity for passionate, dedicated individual who is comfortable multi-tasking & building relationships across the organization.
OTC Markets Groups newly redesigned headquarters foster an open & collaborative environment for employees & clients, utilizing more than 33,000 square feet of space. Our office is located in Brookfield Place, in the heart of the financial district, surrounded by Hudson River Park & home to luxury retail & dining establishments, featuring extensive public space & world-class amenities.
Our Core Values are incorporated in each aspect of our Company. We encourage autonomy, professionally passionate discussions of opposing viewpoints, creativity & transparency. We all win together.
We invest heavily in employee satisfaction & offers all of our employees a highly competitive compensation package. As a dynamic, growing company that fosters an open culture, we emphasize autonomy, responsibility, innovation & self-discipline. We are looking for someone who wants to make an impressive impact at a company known for its reputation on quality & achievement.
Responsibilities Include, but are not limited to:
- Managing the entire regulatory compliance & oversight program for a FINRA member broker-dealer & operator of two SEC regulated ATSs
- Ensuring that the firm meets its obligations pursuant to Regulation ATS, Regulation Systems, Compliance & Integrity (SCI) & the Consolidated Audit Trail (CAT), among other key regulations, while closely collaborating with the firms cybersecurity, infrastructure, software & product development teams
- Interacting with FINRA & SEC staff on key issues impacting the firm
- Responding to regulatory inquiries, leading regulatory audit processes & responding to written regulatory requests
- Implementing best practices with respect to industry regulation standards
- Working closely with the firms President & General Counsel of the parent company to develop & communicate the firms long & short-term regulatory strategy
- Acquiring detailed knowledge of our policies & procedures, & ensuring they remain current & conform with industry best practices
- Monitoring all aspects of the firms operations & identify new or emerging compliance issues
- Providing guidance, advice, and/or training programs to management & staff regarding relevant regulatory requirements
- Managing an Associate Compliance Officer in all aspects of daily work
- Serving as a resource to partners in the business, risk, technology, finance, legal & human resources teams
Successful Candidate Qualifications:
- Strong working knowledge & understanding of the FINRA Rules, applicable federal securities laws & related regulations impacting the firm
- Excellent written communication skills
- The ability to simplify complex topics into actionable recommendations for decision-making
- FINRA Series 7 & 24 required
- Ability to collaborate with senior management & staff across the firm; create environment of inclusion where multiple perspectives, diverse backgrounds, varied skill & creative insights drive superior results
- Strong leadership skills & understanding of how to ensure an effective compliance plan is distributed throughout all levels of the organization
- Results driven, highly accountable with strong work ethic
- Bachelors degree in business, finance, or other applicable discipline
- Minimum 10+ years securities industry compliance experience working with FINRA & SEC rules & regulations; 3+ years CCO or similar experience
- Experience with ATSs & knowledge of OTC equity security trading compliance strongly preferred
- Familiarity SEC Regulation ATS, Regulation SCI, CAT & Securities Exchange Act Rule 15c2-11 is preferred
Please note, we will neither sponsor nor relocate an individual for this position.
What We Offer Our Team Members:
- Health insurance plans designed to meet the various coverage needs & preferences (Medical, Dental, Vision)
- Flexible Spending Accounts for health, transit, parking & dependent care, as well as Healthcare Saving Accounts for qualifying plans
- Generous vacation policy in addition to 9 annual exchange holidays observed
- Annual bonus & stock incentive program
- Life & disability insurance, including paid parental leave
OTC Markets Group (OTCQX: OTCM) operates the OTCQX Best Market, the OTCQB Venture Market & the Pink Open Market for 10,000 U.S. & global securities. Through OTC Link ATS & OTC Link ECN, we connect a diverse network of broker-dealers that provide liquidity & execution services. We enable investors to easily trade through the broker of their choice & empower companies to improve the quality of information available for investors.
To learn more about how we create better informed & more efficient markets, visit www.otcmarkets.com.
OTC Link ATS & OTC Link ECN are SEC regulated ATSs, operated by OTC Link, member FINRA/SIPC.
Come as you are & just be you. We are an equal opportunity & e-verify employer & prohibit discrimination & harassment of any kind. All employment decisions are based on business needs, job requirements, & individual qualifications, without regard to race, creed, color, religion, gender, national origin, age, marital status, political belief, physical or mental disability, sexual orientation, military or veteran status, genetic information, family or parental status, gender identity, pregnancy, including childbirth or related medical condition, or any other characteristic protected by federal, state, or local law. We encourage applicants of all ages & backgrounds.
Please no calls or 3rd party recruiter submissions.
Applicants have rights under the federal law:
Equal Employment Opportunity is the Law
Polygraph Protection Act