Chief Compliance Officer

Chief Compliance Officer About the Company A pioneering healthcare solutions provider for the agriculture industry. Industry Hospital & Health Care Type Privately Held Founded 1957 Employees 201-500 Specialties medical health plan health & wellness cobra administration care management field services bilingual field services health centers rural health centers Mexico health network Mexico clinic network online tools and resources health & wellness centers About the Role The Company is on the lookout for a motivated Chief Compliance Officer to join our dedicated team. In this key role, you will oversee the daily operations of the broker-dealer/investment advisor, manage client accounts and investment administration, and cultivate broker and banking relationships. Your expertise will be vital in enhancing and maintaining written supervisory procedures, as well as developing robust training programs, licensing protocols, internal controls, and ensuring adherence to various regulatory obligations. As the Chief Compliance Officer, your responsibilities will also encompass compliance management, administration, and comprehensive supervision of registered representatives and investment advisers. You will conduct regulatory examinations, ensuring that our practices align with relevant laws and regulations. We are looking for candidates with a BA/BS degree and at least 10 years of relevant compliance experience, ideally within a regional or national retail brokerage firm. A strong track record in the field is preferred. Familiarity with the SEC and FINRA environment is essential, alongside a clean U-4 and current Series 7, 24, 53, 99, and 66 licenses. The ideal candidate should have a solid understanding of both commission and advisory business, knowledge of trading, and be well-versed in OATS/CATS and TRACE reporting. High standards of integrity, ethical judgment, and outstanding communication skills are critical to succeed in this role. Additionally, you will manage administrative functions, including updating business continuity and cybersecurity plans, and serving as the Corporate Secretary for the financial services division. Travel Percent Less than 10% Functions Finance

Created: 2026-03-10