Chief Compliance Officer

The Chief Compliance Officer will assume primary responsibility for ensuring compliance with SEC, CFTC, FINRA, NFA, and other regulatory rules for a Retail Broker-Dealer and Futures Commission Merchant. This role involves designing and executing the compliance program, evaluating business risk, and maintaining a strong culture of compliance at the highest level. The ideal candidate will have an entrepreneurial spirit and strong leadership skills to build and expand the organization.