skillventory - A Leading Talent Research Firm

Chief Compliance Officer

skillventory - A Leading Talent Research Firm

full-time

Posted on:

Location Type: Hybrid

Location: Merrimack • New Hampshire • New Jersey • United States

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Salary

💰 $125,000 - $258,000 per year

Job Level

Lead

About the role

  • The Chief Compliance Officer (CCO) is a key member of the senior leadership team, responsible for providing strategic guidance on regulatory and compliance matters.
  • The CCO will develop, implement, and oversee all aspects of Green Pier’s broker-dealer compliance program.
  • This role serves as a strategic partner to the business, aligning compliance frameworks with commercial objectives to enable responsible growth and innovation.
  • The CCO will liaise with federal and state regulators, manage regulatory examinations, and oversee comprehensive compliance reporting to senior management.
  • The role also includes leading and mentoring a team of compliance professionals.

Requirements

  • Bachelor’s degree required; advanced degree preferred.
  • 10 years of broker-dealer legal and/or compliance experience.
  • Prior experience as a CCO or senior compliance leader strongly preferred.
  • Demonstrated strategic thinking, sound judgment, and executive presence, with the ability to influence and collaborate across a large organization.
  • Experience operating effectively in high-growth, rapidly evolving environments.
  • Exceptional writing and communication skills, with the ability to distill complex concepts for senior audiences.
  • Deep knowledge of SEC and FINRA rules and broker-dealer operations.
  • High ethical standards and integrity.
  • FINRA Series 7 and Series 24 required (or ability to obtain shortly after hire).
Benefits
  • comprehensive health care coverage and emotional well-being support
  • market-leading retirement
  • generous paid time off and parental leave
  • charitable giving employee match program
  • educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools
broker-dealer complianceregulatory compliancecompliance reportingstrategic guidanceregulatory examinationsSEC rulesFINRA rulesbroker-dealer operationsteam leadershipmentoring
Soft Skills
strategic thinkingsound judgmentexecutive presenceinfluencecollaborationwriting skillscommunication skillsability to distill complex conceptshigh ethical standardsintegrity
Certifications
FINRA Series 7FINRA Series 24