Chief Compliance Officer - Broker Dealer

Wintermute seeks a Chief Compliance Officer (CCO) to ensure broker-dealer compliance with SEC, FINRA, and applicable state rules. The role involves designing, implementing, and maintaining the broker-dealer compliance program.

Overview

Department

Legal

Job type

Full time

Compensation

Salary not specified

Location

New York, United States, North America

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Requirements

Series 7 and 24 licenses required.

At least 8+ years of compliance experience, preferably in a senior role supporting a broker-dealer.

Strong understanding of regulatory agencies’ rule and regulations, especially SEC and FINRA rules.

Experience in relation to proprietary trading, financial services and/or crypto.

Ability to read and interpret regulations and implement changes related to broker-dealer compliance.

Strong attention to detail and able to prioritize workload to meet tight deadlines.

Excellent communication skills, both written and verbal.

ATS experience and TRACE reporting experience.

Previous experience in securities trading. Strong interest and curiosity in algorithmic trading and decentralized finance

Owner mentality: you focus on protecting the company from compliance risk while being driven by the best for the company in terms of growth and commercial success.

Proven ability to be both a strategic thinker and excellent at execution and being hands-on; drive to do whatever it takes to get things done.

Sharing Wintermute culture values: determination/ambition and humility; drive to action, ability to both influence others and listen/ learn from others

Like meritocracy and being ready to be judged by what you deliver (vs pedigree or former experience)

Have an entrepreneurial mindset vs 9-to-5 mentality; prepared to work non-standard working hours as and if required

Responsibilities

Establish and implement standards, policies and procedures for the broker-dealer compliance program.

Manage the firm’s FINRA Gateway filings, complete periodic regulatory reporting submissions, and coordinate broker-dealer audits and inspections.

Oversee trade related compliance activities, including the reporting for equity securities.

Coordinate responses to inquiries from regulatory authorities.

Manage all aspects of the US firm’s AML compliance program. Collaborate with other control functions such as compliance, risk, operations to address any regulatory issues which may impact the function, business or product.

Assist with development, maintenance and delivery of compliance related materials, including policies and procedures, manuals and training materials against regulatory requirements and best practices.

Review and approve marketing materials, ensuring it complies with applicable financial promotion rules.

Support compliance and regulatory projects, including authorisations, transaction monitoring and surveillance. Investigating and analyzing automated transaction monitoring alerts.

Involvement in regulatory horizon scanning, including interpreting the regulation, scoping and analysis, and implementing new regulation changes.

Reviewing new publications from regulators and communicating their impact to stakeholders.

Benefits

Working at one of the most innovative trading firms globally.

Engaging projects offering accelerated responsibilities and ownership compared to traditional finance environments.

A vibrant working culture with frequent team meals, holiday celebrations, gaming events, and company-wide outings, including our annual Wintermute weekend getaway.

Great company culture: informal, non-hierarchical, ambitious, highly professional with a startup vibe, collaborative and entrepreneurial.

A performance-based compensation with a significant earning potential.