REMOTE - Chief Compliance Officer (ATS/SPBD) with Series 24, 7, 63, 99
OPEN JOB:REMOTE - Chief Compliance Officer (CCO) - Investment Banking & ATS Operations SALARY:$250,000 to $275,000 base + performance incentives LOCATION:Remote (U.S.) LICENSES REQUIRED:Series 7, 24, 63, 99 ABOUT THE COMPANY: • Our client is a self-clearing U.S. broker-dealer providing sophisticated execution, clearing, and order-routing solutions across the U.S. equity markets. The firm connects institutional and retail broker-dealers to 40+ trading venues and operates a regulatedAlternative Trading System (ATS)that supports efficient, compliant trading and execution. • The firm is licensed to operate a digital asset security ATS and one of two special purposebroker-dealer (SPBD) licensed to custody digital asset securities. This role is for CCO of the broker-dealer operator of the ATS and SPBD, which we expect to remain their flagship regulated entities. It will be an important and visiblerole within the organization. • This current role is focused on finding someone with experience either as a Chief Compliance Officer or Senior Compliance Executive for either an ATS (Alternative Trading System)or a SPBD (Special Purpose Broker-Dealer)which is a new type of broker-dealer licensecreated by the SEC (Dec 2020 statement)that allows firms to custody and transact in digital asset securitiesdirectly. It's a full remote role (the firm is based out of NYC) ROLE OVERVIEW • TheChief Compliance Officer (CCO)will be responsible for overseeing the firm's overall compliance program, ensuring adherence toSEC, FINRA, and MSRBregulations across trading, investment banking, and digital asset activities. • This is a strategic leadership role requiring deep familiarity withprivate placements (Reg D), investment banking transactions, ATS operations, trading surveillance, and clearing functions.The CCO will report directly to the firm's President and collaborate closely with senior management, operations, technology, and legal teams to strengthen the firm's regulatory posture. KEY RESPONSIBILITIES Regulatory Oversight & Governance • Develop, implement, and continuously enhance the firm's compliance framework, policies, and supervisory procedures. • Ensure full compliance withSEC, FINRA, and MSRBrules related to investment banking, trading, and clearing operations. • Maintain oversight ofReg D / Reg A private placements, ensuring appropriate disclosures, suitability assessments, and adherence to AML/KYC standards. • Oversee compliance forATS operations, including Form ATS filings, system functionality reviews, and order-handling transparency. • Serve as the firm's primary liaison withFINRA, SEC, and other regulatory agencies, managing all examinations, audits, and inquiries. Investment Banking & Capital Markets Compliance • Supervise compliance forprivate placements, PIPEs, and other capital formation activities, ensuring alignment with regulatory guidelines. • Review marketing materials, offering documents, and due diligence files for accuracy and compliance. • Support business teams with regulatory interpretations, particularly related to underwriting, distribution, and conflicts of interest Trading & ATS Supervision • Oversee compliance related toprincipal and agency trading,best execution,Reg SHO,Rule 15c3-5 (Market Access Rule), andtrade reportingobligations. • Implement and monitortrading surveillance toolsfor detecting manipulative trading, front-running, or information misuse. • Review ATS trade data and routing logic for regulatory adherence and operational integrity. • Manage firm-level reporting includingRule 606,CAT,OATS, and other applicable submissions. Risk Management & Internal Controls • Conduct periodic risk assessments across trading, banking, and operational lines of business. • Partner with technology teams to integrate compliance monitoring into trading systems and digital platforms. • Identify emerging regulatory risks in the digital and fintech space and proactively update policies. Leadership & Team Development • Lead and mentor the compliance department, fostering a culture of accountability and integrity. • Deliver ongoing training to bankers, traders, and operations personnel on evolving regulatory obligations. • Advise senior management on regulatory developments and strategic compliance planning. REQUIREMENTS: • FINRA Series 7, 24, 63, and 99REQUIRED • Series 14or57PREFERRED • Bachelor's degree required; JD, MBA, or equivalent industry credential (e.g., CAMS, CFA) preferred • 10-15 yearsof compliance experience within aself-clearing broker-dealerorinvestment bank. • Proven experience withprivate placements,investment bankingsupervision, andATS compliance management. • Strong working knowledge ofSEC,FINRA, andMSRBregulations, including Reg D, Reg ATS, and FINRA Rules 5121, 2210, and 3310. • Familiarity withdigital securities,fintech, orblockchain-based trading environmentsis highly desirable. • Exposure to multiple firm sizes and business models (from boutique investment banks to larger multi-line broker-dealers). • Experience withfixed incomeormutual fundcompliance programs is a plus. If you are interested in pursuing this opportunity, please respond back and include the following: • MS WORD Resume • required compensation. • Contact information. • Availability Upon receipt, one of our managers will contact you to discuss the position in full detail. Jason Denmark Recruiting Manager INTERMEDIA GROUP, INC. EMAIL: [email protected] LINKEDIN: Apply tot his job Apply tot his job