Chief Compliance Officer
Cadre is seeking a compliance leader eager to grow and lead extraordinary broker-dealer and RIA compliance programs at a cutting-edge fintech firm. Your experience has taught you how to build out effective and intelligent processes and procedures. You have a business mind, and are always seeking new and improved ways of doing things. You have the confidence and ability to work productively with our regulators and internal team, and can communicate clearly and persuasively. You have a strong understanding of the core rules and regulations underpinning FINRA broker-dealer and SEC investment adviser compliance functions, but also an understanding of business operations, strategy and process.
Most importantly, you are driven to build an elite compliance department with a world-class team. You don’t want to do things the way it has always been done—you want to improve. You want to build a team and organization we can all be proud of, one that changes the way people think about compliance operations.
What You’ll Do
- Lead our compliance organization, providing guidance and support to our business partners, senior management, and our Board of Directors
- For both our broker-dealer and RIA functions, ensure that appropriate regulatory policies, procedures and controls are established, maintained and well-documented
- Develop and deliver training and communications on compliance policies and procedures to ensure proper understanding across the organization of regulatory related risks and responsibilities
- Take ownership of all ongoing compliance review processes, including annual meetings, Form ADV and Form BD filings, policies and procedures, etc.
- Manage and coordinate SEC and FINRA regulatory examinations, including written responses
- Partner with the Legal team to analyze changes to regulatory requirements and proactively handle regulatory developments
- Become an industry thought leader as we grow and expand our business.
- Reviewing and updating compliance policies and procedures to reflect industry best practices, the evolving regulatory environment and changes to the business
- Drafting federal and state regulatory filings and compliance documentation
- Maintain all required books, records, manuals and correspondence
- Assisting with educating staff on compliance-related matters
- Conducting vendor due diligence
- Drafting contracts and related internal compliance materials
- Assisting with the preparation, organization and maintenance of corporate documents
- Coordinating and communicating with internal and external parties on various legal and compliance related matters
What You Have
- A minimum of 10 years experience as a compliance professional at a SEC-registered investment adviser, broker-dealer, or regulator (diversity of experience strongly preferred)
- JD preferred but not required
- Experience with rules and regulations applicable to investment advisers and broker-dealers
- Comfort with ambiguity - capable of solving complex problems independently in a fast-paced environment
- Demonstrated success as a values-based leader who can build and maintain a culture of empowerment, ownership, and accountability
- Ability to initiate and drive projects to completion with minimal guidance
- Demonstrated success at partnering, prioritizing, and balancing needs cross-functionally
- Substantial experience managing regulatory audits
- Excellent writer and communicator
- Series 7 and 24