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Chief Compliance Officer

Alternate Locations:

CT - Glastonbury

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General Description:

 

The role of the CG SEC Chief Compliance Officer (CCO) is to articulate and maintain the standards of conduct as required by the federal, state and SRO regulators for USIS Securities. The CCO provides leadership and direction to compliance staff as well as advice to broker dealer and business management on matters related to regulatory requirements and compliance programs. The CCO position reports to the CG SEC President and is critical to the effectiveness of the Securities Department and the firm’s compliance programs.  

Responsibilities:

·       Ensure that USI Securities compliance programs adhere to applicable regulatory requirements

·       Serve as primary contact with FINRA, SEC and various state securities regulators

·       Maintain written supervisory procedures “WSPs” that are responsive to the changing regulatory environment and industry standards applicable to the firm’s products and services

·       Perform FINRA Rule 3120 Testing and compile FINRA Rule 3130 Report to Senior Management, for annual certification

·       Coordinate certain regulatory forms filings

·       Plan and execute various internal or branch office audits, annual compliance meetings and the annual interviews and certifications required of registered representatives

·       Manage compliance staff and consultant(s) to ensure service standards and deadlines are met and/or exceeded

·       Other duties detailed in Chapter 25 of USI Securities’ WSPs as amended

·       Other responsibilities as assigned by CG SEC President

Knowledge, Skills and Abilities:

·       Bachelor’s Degree and minimum 10 years relevant work experience.

·       Knowledge of broker-dealer/investment advisor operations.

·       Series 7, 24, 53 and 65 registrations.

·       Excellent communication, organizational and time management skills.

·       Proficiency in MS Office software.

·       Attention to detail and organization.

Job ID:

21054

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