NYC 299 Park Avenue (22957), United States of America, New York, New York
Commercial Broker Dealer Chief Compliance Officer - Sr. Director
The Sr. Director will be the Commercial Broker Dealer Chief Compliance Officer ("BD CCO") for three institutional FINRA registered broker-dealers and provide compliance support to the Capital Markets line of business, a division within the Commercial Bank of Capital One. The broker-dealers include Capital One Securities, Inc., KippsDeSanto & Co., and TripleTree, LLC (collectively "Commercial Broker Dealers" or "CBDs"). The BD CCO will lead a BD Compliance team of associates (compliance advisory and registrations and licensing professionals). The BD CCO will interact with and advise senior management of the CBD LOBs and ensure effective methods of managing compliance risk arising from federal and state laws and regulations (e.g., FINRA, NASDAQ and SEC), within an enterprise-level risk management framework. The BD CCO will gain and maintain in-depth understanding of the CBD products, services and functions to ensure maintenance of comprehensive written compliance policies and written supervisory procedures.
The BD CCO maintains all organizational and professional ethical standards and has latitude for independent judgment and decision-making. Additional responsibilities will include:
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