Global Chief Compliance Officer

Global Chief Compliance Officer

  • Location

    Chicago, United States

  • Sector:

    Compliance & Financial Crime

  • Job type:


  • Salary:

    Market Rate

  • Contact:

    Chase Scottland

  • Contact email:


  • Job ref:


  • Published:

    4 months ago

  • Expiry date:


  • Consultant:


JCW is working on a search for a Chief Compliance Officer for a large financial institution based in Chicago, Illinois.

Role Description:

  • Ensure compliance with FINRA and SEC regulations
  • File regulatory findings in the U.S. and respond to inquiries from U.S. regulators
  • Lead all regulatory audits, including conducting annual internal compliance audits
  • Meet with Global Regulators (FINRA/SEC) on exams and other regulatory matters
  • Assess regulatory risk and liaise with regulatory counsel on SEC and state broker-dealer registration requirements  
  • Implement Anti-Money Laundering, Foreign Corrupt Practices Act and Know Your Customer programs

Role Requirements:

  • At least 7 years' experience in compliance within Investment Banking
  • Completion of FINRA tests preferred
  • Experience dealing with highly confidential business matters and making compliance decisions aligned with risk assessment
  • Team oriented
  • Juris Doctor preffered