Chief Compliance Officer

Chief Compliance Officer (CCO)

Location: Glenview, IL

Company: Regal Securities, Inc.

About Us:

Regal Securities, Inc., is a well-respected investment brokerage and Registered Investment Advisory firm in the Chicago area. With a firm commitment to integrity and innovation, we’re expanding our team and looking for a dynamic Chief Compliance Officer (CCO) to lead our compliance efforts.

To optimize collaboration, team leadership development, and cultural interaction, this hands-on role is based onsite in our Glenview, IL headquarters where you’ll be at the heart of our mission to uphold the highest standards in regulatory compliance. Open to hybrid in office work schedule.

Position Overview:

As our Chief Compliance Officer,you’ll drive our compliance strategy, ensure regulatory adherence, and lead a team of top-notch professionals for our FINRA registered broker-dealer, and its affiliated SEC registered investment advisory firm. This is your chance to shape the future of compliance in a firm that values your expertise and innovative spirit.

What You'll Do:

• Lead with Vision: Inspire and manage a talented team of compliance professionals, fostering a culture of excellence and continuous improvement
• Stay Ahead of the Curve: Monitor and anticipate regulatory changes, advising senior management on emerging risks and critical deadlines
• Innovate with Technology: Implement and leverage cutting-edge compliance technologies to enhance our surveillance capabilities
• Engage Proactively: Communicate effectively with supervisors, registered representatives, and advisory representatives, ensuring everyone is aligned and informed
• Navigate Complexities: Manage regulatory exams, inquiries, responses, and investigations with federal and state regulators, demonstrating your expertise and confidence
• Organize with Precision: Ensure timely completion of regulatory filings, audits, and internal reviews
• Lead Investigations: Administer our robust Anti-Money Laundering (AML) Program, safeguarding the firm against financial crimes
• Evaluate and Improve: Conduct thorough risk assessments and internal reviews, testing the effectiveness of our policies and procedures while driving continuous improvement
  
  

What You'll Bring:

Experience: At least 8 years in compliance,with deep knowledge of FINRA and SEC regulations. Self directed brokerage experience desired.

Credentials: Series 7, 24, and 65/66 licenses required. A Bachelor’s Degree is essential, and CAMS certification is preferred.

Skills: Exceptional organizational, analytical, and problem-solving abilities.

Communication: Stellar written and verbal communication skills, with the ability to influence and engage at all levels.

Adaptability: A proven ability to multitask and thrive in a fast-paced environment.

Leadership: Strong team player with excellent coaching, feedback, and listening skills.

Knowledge: Comprehensive understanding of regulatory requirements for broker-dealers and investment advisors, with experience across various investment products.

Why Regal Securities?

Innovative Environment: Thrive in a fast-paced, challenging setting where your contributions drive real impact.

Competitive Rewards: Enjoy an attractive salary, performance bonuses and a comprehensive benefits package.

Compensation Range: $150K - $200K.

Inclusive Culture: Join a diverse, inclusive team that values innovation, collaboration, and your unique contributions.

Ready to Lead and Innovate?

If you’re a strategic thinker with a passion for compliance and a proven track record of success, we want to hear from you.

Join Our Vision:

Be part of an innovative firm where your leadership and expertise will shape the future. At Regal Securities, Inc., we believe in the power of innovation and the strength of a collaborative team.

Apply today and make a difference with us!

Regal Securities, Inc. is an equal opportunity employer. We are committed to creating a diverse environment for all employees.

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