An irreverent Wall Street Blog
by Bill Singer
 
Join BrokeAndBroker blog on Facebook  Follow the BrokeAndBroker blog on Twitter  Connect with BrokeAndBroker on LinkedIn  Join Bill Singer on Google+  Subscribe to RSS Feed

Chief Compliance Officer Opening
Written: January 17, 2013

Chief Compliance Officer

T Capital Funding (Maitland, Florida)

Posted:
January 17, 2013
Address:
Maitland, FL 32751
Type:
Full-time
Description:
This position is for Registered Principal and Chief Compliance Officer of a small Broker-Dealer firm, exclusively involved in Real Estate Securities (limited partner interests). The Broker-Dealer firm is a wholly owned subsidiary of a well -established Boston -based commercial real estate investment company, in business over 35 years, which acts as Sponsor and General Partner of real estate projects in the United States, as well as Canada and South America, Europe and Asia. 

The firm is licensed as a Broker-Dealer, and has been in business since 2004. The firms head office will be located outside Orlando, in Central Florida, with a Branch Office in Boston, Massachusetts, where experienced Registered Representatives and other firm Principals are located. The CCO will be based in the Central Florida office, and will travel at least once each month to Boston for supervision and compliance purposes.

The CCOs main responsibility is to ensure the firm's compliance with all FINRA and SEC rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firms Broker/Dealer activities. The position is responsible for implementing all required policies and procedures regarding all business activities. Additional responsibilities will include approval of all accredited investors, due diligence for offerings and creation of offering materials. This position will work closely with the Registered Principal and interact with all associated persons at the Firm.

The ideal candidate should have experience with Real Estate Securities and
Domestic and International Institutional Accounts.

Extensive knowledge of securities rules and regulations covering operating procedures and customer protection is also required, as well as working knowledge of securities registration and membership requirements for FINRA member firms.

The CCO must possess experience with the interaction between FINRA and member Broker-Dealer and their associated responsibilities.

Responsibilities:

-Review, maintain, and revise as necessary all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls.

-Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews), and supervision.

-Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices, prime brokerage to trading activity).

-Implement and maintain all mandated Anti-Money Laundering programs covering the Broker/Dealer activities. 
-Approve all accredited investors, due diligence for offerings and creation of offering materials.
-Provide advice and training to firms management and employees regarding applicable securities rules, regulations and firm policies.

-Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents of both legal and business nature. Must be able to correspond with all regulators and auditors.

-Work as liaison to firms management and legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal and civil matters revolving around the firm's Broker/Dealer activities.

-Demonstrate ability to effectively analyze situations, absorb large amounts of information and apply past experience and judgment to resolve issues in a timely manner. 

-Review documentation and provide Compliance approval of all new accounts regarding Know Your Customer and the firms Customer Identification Procedures. 

-Work in the preparation of offering materials and other documentation necessary to present to investors and insure that all documents, correspondence and marketing materials for the Broker-Dealer are FINRA compliant.
Requirements:

Applicable Licensing in order to be appointed a Registered Principal and Chief Compliance Officer
A law degree and membership in the Florida Bar is preferable.
Other:

As a small, established, and well-organized Broker-Dealer, the expectation is that this position would require approximately 30 hours per week on average; of course, this depends on transaction volume. However, in any case, office hours should be planned for each week day. The firm offers benefits such as health, dental and vision insurance; company 401K; company paid short and long term disability insurance, as well as company paid term life insurance.
Apply with

Topics: CCO  BrokeAndBroker  Bill Singer  
 
[^top^]

Previous Entries
February 28, 2015
After Credit Card Expense Suspension, Stockbroker Barred By Liens And JudgmentsIf you were lucky to dodge a regulatory bullet, don't count on your def... Read On
February 27, 2015
If you were lucky to dodge a regulatory bullet, don't count on your deft footwork to bail you out a second time.  In a recent FINRA regulatory se... Read On
February 26, 2015
Sometimes a cigar is a cigar. Sometimes a fish is a fish -- or a grouper. Sometimes, however, federal prosecutors would have you believe that a fish i... Read On
February 25, 2015
In some ways, this disaster started out admirably with a registered representative father trying to find a way to leave his book of business for his... Read On
February 24, 2015
Stockbroker, Compliance, Legal, and Regulatory JobsEmployment Page BrokeAndBroker.com Jobs#wallstreetjobs @brokeandbrokerNOTICE TO EMPLOYERS... Read On
February 23, 2015
The hotly contested, high-profile Wall Street employment lawsuit of Wile v. FINRA found the industry's self-regulatory organization defending against ... Read On
BrokeAndBroker.com Job Search


Related Topics
Tag Cloud
Internet FINRA Bear Stearns Bloomberg SEC NASD NYSE Money Laundering Due Diligence Waiver Forbes China Chepucavage Broy Woody Allen Madoff NAC NPR Marketplace Stanford UBS Ketchum Antitrust NASDAQ RRBDLAW Schapiro Bill Singer BrokerAndBroker USERRA Brokeandbroker.com Morgan Keegan Arbitration Counterclaim BrokeAndBroker.com Khuzami BrokeAndBroker Aleynikov Goldman Sachs brokeandbroker Promissory Note U4 Bill SInger EFL CFTC Huffington Post Flash Crash arbitration RBC RRBDLAW.com Ponzi Affinity Fraud Wachovia Raymond James BrokeandBroker.com Expungement Fraud Securities Fraud Outside Business Activity Registered Rep Magazine FOREX BrokerAndBroker.com FBI Banc of America Pro Se PCAOB Supreme Court Morgan Stanley Smith Barney E*Trade Margin email Galleon Penson U5 Defamation Protocol Wells Fargo Punitive Damages Citigroup Merrill Lynch ARS Employee Forgivable Loan Street Legal Morgan Stanley AWC Fidelity Bankruptcy Broke And Broker HFT David Sobel Day Trading Ameriprise Commissions Spouse Schwab Commission CRD Kenneth Starr IRS CNBC Complaint ATM Skimming Hacking Phishing Malware Naskovets Poteroba Koval Lincoln Financial Selling Away Outside Business Activities Rakoff 2nd Circuit Second Circuit IRA 401k Forgery Tax RRBDlaw.com Email Netschi Moore Whistleblower Street Sweeper Countrywide Tran Bharara Facebook Online Severance Bonus Eligibility Rule TD Ameritrade Hedge Fund SAC 1099 Smith Barney Lehman Brothers SIPC IC3 Scottrade Lehman JPMorgan Chase Hertz Insider Trading Bank of America Department of Justice Elles Bribe Auction Rate Securities Raiding Spam Edward Jones Medicare Diabetes Dow Schumer Thain Walter Bid Rigging Real Estate Discrimination Wall Street Statutory Disqualification Form U4 Form U5 Indictment Boyland DOJ Corruption bill singer FTC Do Not Call FINRA Arbitration Costa Rica Settlement LIBOR Varney Plea Rule 8210 Eligibility RRBDlaw Appeal Fowler LPL Johnson Cellphone US Airways JPM Reg D MSSB Vault Loan SunTrust Discovery Employment Rosenthal Recruiting Lawyer Trading Platform JP Morgan Employment Tuesday Wrongful Termination Bank Guarantee WaMu Solicitation REIT Martin Credit Cards Rule 3050 Away Account Credit Repair PN Advisor Placement Group Forex Mortgage Private Placement Moon CGMI Merrill Anderson Exam Lee Borrowing Tax Lien Conversion Oppenheimer Wedbush Felony Misdemeanor Expenses ING Lien OTR Estate Jobs Florida Credit Card Elderly Flash Drive Annuity Expense Reimbursement FNMA BrokeAndBroke TIC DWI Promissory Notes Suitability Will POA Power of Attorney Casino NSF MF Global Counterfeit Preet Bharara Corzine Hacker RIA Prison Disclosure NASAA Aguilar FCPA Subway Identity Theft Gold Dell Bar Injunction Bank Deutsche Bank Hospital Due Process God HSBC Private Placements Eric Stein Wire Fraud FINOP CCO Audit Joshua Brown Backstage Wall Street Obstruction of Justice Reuters Retaliation Variable Annuity Arbitraiton Outside Account Options Telephone Wine Series 7 Social Media ADA Pacifico Non-Prosecution Agreement Confirm Tax Fraud Retirement OBA Equity Indexed Annuities EIA Disability MetLife Continuing Education Cheating OIP Tax Liens Willful CE Unregistered Impersonation Annuities BBVA Business Expenses ETF JOBS Act Mail Fraud Parking Variable Annuities Signatures BitTorrent Impersonator Wire Transfer Wire Crowdfunding Nasdaq Away Accounts WSP Laptop Dodd Frank Checks RMBS AML PST Solicited Unsolicited Congress SRO Wife Discretion Non-Solicitation Restaurant Commodities Private Securities Transaction Offer of Settlement Money Market employment jobs Great Recession Chase Investment Services Arrest Barclays Liens Failure To Supervise Apple Time And Price T&P Willfully Husband Letter of Authorization LOA Sexism Debit Card Knight Test Practice Sale Unfair Competition Signature Judgments Undisclosed Settlement Trainee Fee Trust Laser Side Bar Mattera Female Sales Assistant Kennedy Charge Sexist NML Argentina Embezzlement Silver Investor Alert Judgment Bank Fraud Deceased Bill Singer BrokeAndBroker TSSB OHO Mary Jo White Trustee Motion To Dismiss Frumento Conspiracy 6th Circuit Proctor Rule 3040 Class Action Beneficiary NYAG Schneiderman 11th Circuit Insurance Gallagher White Self Regulation Short Sale Compromise Website TRO Supervision Vacatur SDNY Rule 12206 BrokeAndBroker Bill Singer Piwowar Stifel Rule 1122 Article V signature Confidential Inside Information Reg SP VA Regulation SP Customer Rule 3270 Rule 3240 Annual Compliance Questionnaire OWB 2Cir Stockbrokers Cybercrime Loans Altered Records
 
Email Bill Singer Connect with Bill Singer on Facebook Follow Bill Singer on Twitter Link up with Bill Singer on LinkedIn Join Bill Singer on Google+